Christopher J. Cavaliere
Professional summary
Christopher J Cavaliere, who also goes by Christopher Cavaliere, Christopher John Cavaliere, is a registered financial professional currently at SAFRA SECURITIES LLC located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 15 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher J Cavaliere's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2026 - Present
SAFRA SECURITIES LLC
Office #1: 546 Fifth Ave, New York, NY 10036December 7, 2022 - March 11, 2026
CITIGROUP GLOBAL MARKETS INC.
January 18, 2022 - November 25, 2022
WEDBUSH SECURITIES INC.
July 19, 2016 - January 21, 2022
HSBC SECURITIES (USA) INC.
April 23, 2015 - June 29, 2016
MORGAN STANLEY
October 29, 2013 - April 21, 2015
UBS SECURITIES LLC
March 9, 2011 - December 11, 2012
TD SECURITIES (USA) LLC
October 21, 2010 - December 15, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 29, 2008 - March 11, 2010
RBC CAPITAL MARKETS, LLC
March 14, 2006 - February 29, 2008
RBC CAPITAL MARKETS CORPORATION
October 25, 2004 - March 14, 2006
TD AMERITRADE, INC.
October 29, 2003 - November 9, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 11, 2000 - October 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 1999 - September 29, 2000
CITICORP INVESTMENT SERVICES
January 1, 1997 - May 20, 1999
NEBRASKA HUDSON COMPANY, INC.
September 26, 1996 - October 25, 1996
CITICORP INVESTMENT SERVICES
January 31, 1996 - September 16, 1996
D. H. BLAIR & CO., 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
(4/2/2026)
(4/2/2026)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
SAFRA SECURITIES LLC
CRD#: 47873 / SEC#: , 8-51935
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAFRA NATIONAL BANK OF NEW YORK | SOLE SHAREHOLDER | |
| BONFIM, CARLOS CESAR BERTACO | DIRECTOR | |
| COLOMBO, RAFAELO | DIRECTOR | 6054935 |
| DIBIASI, ANTHONY | FINOP | 6435706 |
| GRUNWALD, MARK STEVEN | DIRECTOR & PRESIDENT | 3262204 |
| JAVIER, SIGMUND PETER | DIRECTOR | 6002619 |
| MCCARTHY, GERARD THOMAS | CHIEF COMPLIANCE OFFICER | 3121615 |
| MORATO, SIMONI PASSOS | DIRECTOR | 5568481 |
| OSWALD, THOMAS FRANCIS | CHIEF OPERATIONS OFFICER/ PRINCIPAL OPERATIONS OFFICER | 1828798 |
| YOU, SANG MIN JIMMY | CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER | 6693855 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
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