Vito Cavallo
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.
Vito Cavallo was a registered financial professional .
Vito is a previously registered financial professional and started their career in finance in 1998. Vito had worked at 8 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2010 - June 3, 2014
ROCKWELL GLOBAL CAPITAL LLC
January 26, 2009 - June 22, 2010
FIRST MIDWEST SECURITIES, INC.
February 6, 2006 - January 26, 2009
NEWBRIDGE SECURITIES CORPORATION
January 4, 2005 - February 6, 2006
SECURITIES SERVICE NETWORK, LLC
August 23, 2004 - December 31, 2004
CANTELLA & CO., INC.
August 6, 2003 - September 22, 2004
JOSEPH STEVENS & CO., INC.
November 20, 2002 - August 6, 2003
LADENBURG THALMANN & CO. INC.
January 21, 1998 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT 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
ROCKWELL GLOBAL CAPITAL LLC
CRD#: 142485 / SEC#: , 8-67467
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
| Arbitration | 7 |
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.
