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EC

Ernest Castelluccio

CABRERA CAPITAL MARKETS
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2253483
EC

Professional summary

Ernest Castelluccio Jr, who also goes by Ernest Castelluccio Jr, Ernest Castelluccio, is a registered financial professional currently at CABRERA CAPITAL MARKETS, LLC located in New York, New York.

Ernest is registered as a RR (Registered Representative) and started their career in finance in 1993. Ernest has worked at 10 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ernest Castelluccio Jr | Ernest Castelluccio

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ernest Castelluccio Jr's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 5, 2025 - Present

CABRERA CAPITAL MARKETS, LLC

Office #1: 1230 Avenue Of The Americas Ste. 1902, New York, NY 10020
BD
CRD#: 10081
NEW YORK, NY
Past

June 7, 2022 - January 6, 2025

PIPER SANDLER & CO.

BD
CRD#: 665
Greenwich, CT
Past

December 2, 2021 - June 9, 2022

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

July 29, 2019 - October 8, 2021

CANTOR FITZGERALD & CO.

BD
CRD#: 134
NEW YORK, NY
Past

June 1, 2006 - December 22, 2017

INSTINET, LLC

BD
CRD#: 7897
NEW YORK, NY
Past

August 1, 2000 - June 1, 2006

INSTINET, LLC

BD
CRD#: 42886
NEW YORK, NY
Past

March 23, 1999 - August 1, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

January 22, 1997 - January 15, 1998

CANTOR FITZGERALD SECURITIES

BD
CRD#: 19660
NEW YORK, NY
Past

January 22, 1997 - January 15, 1998

MINT BROKERS

BD
CRD#: 13681
NEW YORK, NY
Past

August 19, 1993 - February 27, 1997

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(2/5/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 12/6/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 12/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/24/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/18/1993
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

CC
CABRERA CAPITAL MARKETS, LLC
CABRERA CAPITAL MARKETS, INC. | FIRST SECURITIES CORPORATION | CABRERA CAPITAL MARKETS, LLC

CRD#: 10081 / SEC#: , 8-26406

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Mailing Address
227 W. Monroe St. Suite 3000, Chicago, IL 60606
Phone number
(312) 236-8888
Established
Delaware since 04/10/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CABRERA CAPITAL, LLCOWNER
RCF-CABRERA HOLDINGS, INC.OWNER
AGUILAR, ROBERT LUISPRESIDENT4860643
CABRERA, MARTIN [NMN] JRCEO2504167
WORF, JEFF ALLENCHIEF COMPLIANCE OFFICER1416591

Disclosures

Regulatory Event4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081New York, NY 10020

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