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CC

Charles A. Caffray

VERITAS CAPITAL SECURITIES L.L.C.
New York, NY 10019
Some features on this profile are disabled
CRD#: 3274918
CC

Professional summary

Charles Alexander Caffray, who also goes by Charles Alexander Caffray, is a registered financial professional currently at VERITAS CAPITAL SECURITIES L.L.C. located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1999. Charles has worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 3 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Alexander Caffray

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Alexander Caffray's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 12, 2024 - Present

VERITAS CAPITAL SECURITIES L.L.C.

Office #1: 9 West 57th St Floor 31st, New York, NY 10019
BD
CRD#: 323755
New York, NY
Past

September 22, 2023 - March 18, 2024

EXOS SECURITIES LLC

BD
CRD#: 298276
NEW YORK, NY
Past

March 2, 2009 - May 3, 2023

BTIG, LLC

BD
CRD#: 122225
New York, NY
Past

April 2, 2004 - March 5, 2009

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

February 18, 2003 - March 31, 2004

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

November 22, 2002 - February 21, 2003

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

October 19, 1999 - November 18, 2002

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(3/12/2024)
RR
Alaska
(3/12/2024)
RR
Arizona
(3/12/2024)
RR
Arkansas
(3/12/2024)
RR
California
(3/12/2024)
RR
Colorado
(3/12/2024)
RR
Connecticut
(3/12/2024)
RR
Delaware
(3/12/2024)
RR
District of Columbia
(3/12/2024)
RR
Florida
(3/12/2024)
RR
Georgia
(3/12/2024)
RR
Hawaii
(3/12/2024)
RR
Idaho
(3/12/2024)
RR
Illinois
(3/12/2024)
RR
Iowa
(3/12/2024)
RR
Kansas
(3/12/2024)
RR
Kentucky
(3/12/2024)
RR
Louisiana
(3/12/2024)
RR
Maine
(3/12/2024)
RR
Maryland
(3/12/2024)
RR
Massachusetts
(5/24/2024)
RR
Michigan
(3/12/2024)
RR
Minnesota
(3/12/2024)
RR
Mississippi
(3/12/2024)
RR
Missouri
(3/12/2024)
RR
Montana
(3/12/2024)
RR
Nebraska
(3/12/2024)
RR
Nevada
(3/12/2024)
RR
New Hampshire
(3/12/2024)
RR
New Jersey
(3/12/2024)
RR
New Mexico
(3/12/2024)
RR
New York
(3/12/2024)
RR
North Carolina
(3/12/2024)
RR
North Dakota
(3/12/2024)
RR
Ohio
(3/13/2024)
RR
Oklahoma
(3/12/2024)
RR
Oregon
(3/12/2024)
RR
Pennsylvania
(3/12/2024)
RR
Puerto Rico
(3/12/2024)
RR
Rhode Island
(3/12/2024)
RR
South Carolina
(3/12/2024)
RR
South Dakota
(3/12/2024)
RR
Tennessee
(3/12/2024)
RR
Texas
(3/12/2024)
RR
Utah
(3/12/2024)
RR
Vermont
(3/12/2024)
RR
Virgin Islands
(3/12/2024)
RR
Virginia
(3/12/2024)
RR
Washington
(3/12/2024)
RR
West Virginia
(3/12/2024)
RR
Wisconsin
(3/12/2024)
RR
Wyoming
(3/12/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/27/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 10/30/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/29/2009
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1999
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VC
VERITAS CAPITAL SECURITIES L.L.C.
VERITAS CAPITAL SECURITIES L.L.C. | VERITAS CAPITAL SECURITIES, LLC | VERITAS CAPITAL SECURITIES, L.L.C

CRD#: 323755 / SEC#: , 8-71002

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
9 West 57th St, Floor 31st, New York, NY 10019
Mailing Address
9 West 57th St, Floor 32 Nd, New York, NY 10019
Phone number
(212) 415-6700
Established
Delaware since 09/20/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VERITAS CAPITAL MARKETS, L.L.C.SOLE MEMBER
DILLON, BRENDAN KEITHCHIEF EXECUTIVE OFFICER2918508
MERLINO, NICHOLAS JOSEPHCHIEF COMPLIANCE OFFICER5730516
SHAW, ANTHONYFINOP, PFO, POO7338445

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.

Company Information

VERITAS CAPITAL SECURITIES L.L.C.

CRD#: 323755New York, NY 10019

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