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RL

Robert D. Livio

CABRERA CAPITAL MARKETS
NEW YORK, NY 10020
Some features on this profile are disabled
CRD#: 2381985
RL

Professional summary

Robert Daniel Livio is a registered financial professional currently at CABRERA CAPITAL MARKETS, LLC located in New York, New York.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Robert Daniel Livio'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

March 10, 2016 - 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

December 2, 2014 - August 26, 2015

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
NEW YORK, NY
Past

January 10, 2013 - December 16, 2014

MISCHLER FINANCIAL GROUP, INC.

BD
CRD#: 37818
STAMFORD, CT
Past

October 26, 2009 - August 30, 2012

NUMIS SECURITIES LLC

BD
CRD#: 128471
NEW YORK, NY
Past

May 27, 2004 - July 9, 2004

BROWNCO, LLC

BD
CRD#: 1326
BOSTON, MA
Past

October 24, 2003 - March 29, 2004

SCHONFELD SECURITIES, LLC

BD
CRD#: 23304
JERICHO, NY
Past

January 27, 1998 - April 24, 2003

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

November 13, 1995 - January 9, 1998

NEBRASKA HUDSON COMPANY, INC.

BD
CRD#: 27501
OMAHA, NE
Past

April 25, 1995 - August 31, 1995

MURIEL SIEBERT & CO., LLC

BD
CRD#: 5376
NEW YORK, NY
Past

January 7, 1994 - January 5, 1995

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE
Past

August 13, 1993 - January 1, 1994

H.J. MEYERS & CO., INC.

BD
CRD#: 15609
ROCHESTER, 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
(3/10/2016)

Exams

State Security Law Exam
RR
Series 63
Date: 10/16/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/27/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/10/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/31/1997
General Securities Principal 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)
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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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