Stephen F. Caricato
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.
Stephen F Caricato was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1993. Stephen had worked at 7 firms and has passed the Series 63 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 5, 2012 - February 21, 2013
WHITAKER SECURITIES LLC
July 9, 2010 - October 1, 2010
WESTOR CAPITAL GROUP, INC.
August 21, 2009 - May 5, 2010
FELIX INVESTMENTS LLC
November 1, 2006 - September 27, 2007
SEABOARD SECURITIES, INC.
July 8, 2002 - October 17, 2006
BGC FINANCIAL, L.P.
May 9, 2001 - July 12, 2002
J.P. MORGAN SECURITIES LLC
April 12, 1993 - November 15, 2000
TULLETT LIBERTY BROKERAGE INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
WHITAKER SECURITIES LLC
CRD#: 121465 / SEC#: , 8-65419
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NICOSIA, ROSALIE MARGARET | CHIEF COMPLIANCE OFFICER, CRCP | 4239124 |
Disclosures
| Regulatory Event | 6 |
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.
