Silvia V. Caravella
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.
Silvia Virginia Caravella, who also goes by Silvia VIrginia Caravella Mrs., Silvia Virginia Ramirez, was a registered financial professional .
Silvia is a previously registered financial professional and started their career in finance in 2005. Silvia had worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 99 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2015 - November 13, 2017
BTIG, LLC
February 3, 2014 - January 16, 2015
CITIGROUP GLOBAL MARKETS INC.
February 21, 2005 - May 5, 2011
UBS SECURITIES LLC
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
BTIG, LLC
CRD#: 122225 / SEC#: , 8-65473
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 11 |
| Civil Event | 1 |
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.
