Mark A. Caccavo
Professional summary
Mark A Caccavo, who also goes by Mark Andrew Caccavo, is a registered financial professional currently at RAINMAKER SECURITIES, LLC located in New York, New York.
Mark is registered as a RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 7 firms and has passed the Series 63, Series 79, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark A Caccavo's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 31, 2020 - Present
RAINMAKER SECURITIES, LLC
May 23, 2011 - January 22, 2016
SANTANDER INVESTMENT SECURITIES INC.
February 26, 2010 - March 19, 2010
NATIXIS SECURITIES AMERICAS LLC
August 16, 2004 - May 9, 2011
NATIXIS SECURITIES NORTH AMERICA INC.
May 7, 2003 - August 10, 2004
CANACCORD GENUITY SECURITIES LLC
September 1, 2001 - December 31, 2002
CHARLES SCHWAB & CO., INC.
January 28, 1997 - September 7, 2001
UST SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/7/2020)
(6/22/2020)
(12/7/2020)
(12/8/2020)
(1/14/2021)
(12/5/2020)
Exams
FINRA
Current Firm
RAINMAKER SECURITIES, LLC
CRD#: 132995 / SEC#: , 8-66667
Contact information
FINRA licenses (29 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
