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AC

Alfred M. Caceres

Some features on this profile are disabled
CRD#: 2332090
AC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alfred Martin Caceres, who also goes by Alfred Caceres, was a registered financial professional .

Alfred is a previously registered financial professional and started their career in finance in 1993. Alfred had worked at 9 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alfred Caceres

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 5, 2001 - September 6, 2001

SALOMON GREY FINANCIAL CORPORATION

BD
CRD#: 43413
DALLAS, TX
Past

February 11, 1999 - March 15, 2001

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

December 12, 1997 - December 16, 1998

PACIFIC CORTEZ SECURITIES INCORPORATED

BD
CRD#: 24341
SAN DIEGO, CA
Past

October 3, 1997 - December 4, 1997

THE THERMOPYLAE GROUP, INC.

BD
CRD#: 3059
NEW YORK, NY
Past

August 25, 1997 - September 24, 1997

FIRST PROVIDENCE FINANCIAL GROUP, LLC

BD
CRD#: 39469
PORT WASHINGTON, NY
Past

October 3, 1996 - July 29, 1997

ROYAL HUTTON SECURITIES CORP.

BD
CRD#: 14489
NEW YORK, NY
Past

July 7, 1995 - October 16, 1996

TOLUCA PACIFIC SECURITIES CORP.

BD
CRD#: 13875
BURBANK, CA
Past

April 3, 1995 - June 16, 1995

CRESSIDA CAPITAL, INC

BD
CRD#: 32352
NEW YORK, NY
Past

May 4, 1994 - April 11, 1995

GKN SECURITIES CORP.

BD
CRD#: 19415
NEW YORK, NY
Past

April 14, 1993 - May 5, 1994

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/22/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/13/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/18/1998
General Securities Principal Examination

Current Firm

SG
SALOMON GREY FINANCIAL CORPORATION
RRK SECURITIES | SALOMON GREY FINANCIAL CORPORATION | SALOMON GREY FINANCIAL | RRK SECURITIES, INC.

CRD#: 43413 / SEC#: , 8-50268

BD
Revoked by SEC on 06/01/2006
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Contact information

Main Address
Mailing Address
Phone number
Established
Texas since 09/22/1997
Firm type
Corporation
Fiscal year end
September
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SALOMON GREY FINANCIAL GROUP, INC.75.1% SHAREHOLDER
ROBAR LLC24.9% DIRECT OWNER
CAROTHERS, SCOTT WILLIAMFINANCIAL PRINCIPAL/FINOP
EDWARDS, GRANT ALANEXECUTIVE VICE PRESIDENT, DIRECTOR OF TRADING2745376
ROWE, KYLE BROWNINGCHAIRMAN AND VICE-PRESIDENT, OWNER2310978
SUTTON, KELLYSROP2033974

Disclosures

Regulatory Event5
Civil Event1
Arbitration5
Financial1

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

SALOMON GREY FINANCIAL CORPORATION

CRD#: 43413

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