David S. Cacchione
Professional summary
David Scott Cacchione was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, David had worked at 9 firms, which includes MERRIMAN CAPITAL INC., THE SHEMANO GROUP INC., RBC CAPITAL MARKETS LLC, SUTRO & CO. INCORPORATED, WELLS FARGO SECURITIES LLC, UBS FINANCIAL SERVICES INC., KIDDER PEABODY & CO. INCORPORATED, CITIGROUP GLOBAL MARKETS INC., BURNETT GREY & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 16, 2005 - July 7, 2008
MERRIMAN CAPITAL, INC.
June 11, 2002 - December 21, 2005
THE SHEMANO GROUP, INC.
May 14, 2002 - June 19, 2002
RBC CAPITAL MARKETS, LLC
March 9, 2002 - June 19, 2002
RBC CAPITAL MARKETS, LLC
June 1, 2001 - March 9, 2002
SUTRO & CO. INCORPORATED
October 21, 1997 - May 31, 2001
WELLS FARGO SECURITIES, LLC
January 28, 1995 - November 6, 1997
UBS FINANCIAL SERVICES INC.
February 3, 1994 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
June 8, 1993 - February 2, 1994
CITIGROUP GLOBAL MARKETS INC.
October 11, 1989 - July 14, 1993
UBS FINANCIAL SERVICES INC.
September 19, 1989 - October 28, 1989
BURNETT, GREY & CO., INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
MERRIMAN CAPITAL, INC.
CRD#: 18296 / SEC#: , 8-36420
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
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