Theodore Cavaliere
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.
Theodore Cavaliere JR, who also goes by Ted Cavaliere, Theodore Cavaliere, was a registered financial professional .
Theodore is a previously registered financial professional and started their career in finance in 1998. Theodore had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2014 - August 20, 2021
COMMONWEALTH CAPITAL SECURITIES CORP.
May 2, 2011 - May 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 25, 2011 - May 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
October 2, 2002 - November 12, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 24, 2001 - May 4, 2011
ASSET & FINANCIAL PLANNING, LTD
March 13, 2001 - May 4, 2011
PRIME CAPITAL SERVICES, INC.
May 19, 2000 - March 7, 2001
PRUDENTIAL EQUITY GROUP, LLC
March 8, 1999 - December 7, 1999
C. J. M. PLANNING CORP.
August 10, 1998 - December 11, 1998
C. J. M. PLANNING 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
COMMONWEALTH CAPITAL SECURITIES CORP.
CRD#: 39979 / SEC#: , 8-48915
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HJA TRUST | OWNER, COMMONWEALTH CAPITAL SECURITIES CORP. | |
| ABBOTT, HENRY JOSEPH | CHAIRMAN, CEO, PRESIDENT, NON-OWNER | 2676347 |
| DOSTER, BRIAN R | DIRECTOR, TRUSTEE OF HJA TRUST, GENERAL COUNSEL, NON-OWNER | 6764205 |
| PRUETT, JAMES TRAVIS | DIRECTOR, SENIOR VICE PRESIDENT, ANTI-MONEY LAUNDERING COMPLIANCE OFFICER, CHIEF COMPLIANCE OFFICER, NON-OWNER | 4849769 |
Red Flags
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