Anthony J. Cafaro

ALIGHT FINANCIAL ADVISORS

TROPHY CLUB, TX

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CRD#: 4152071

Professional summary

Anthony Joseph Cafaro, who also goes by Anthony Joseph Cafaro Jr., Anthony Joseph Cafaro, Anthony Cafaro, Anthony Joseph Cafaro Jr, is a registered financial advisor currently at ALIGHT FINANCIAL ADVISORS, LLC located in Trophy Club, Texas and ALIGHT FINANCIAL SOLUTIONS, LLC located in Charlotte, North Carolina.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Anthony has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 55 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Joseph Cafaro Jr. | Anthony Joseph Cafaro | Anthony Cafaro | Anthony Joseph Cafaro Jr

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) - RIA

Click below to view Anthony Joseph Cafaro'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

June 1, 2022 - Present

ALIGHT FINANCIAL ADVISORS, LLC

RIA

CRD#: 158744

TROPHY CLUB, TX

Current

June 1, 2022 - Present

ALIGHT FINANCIAL SOLUTIONS, LLC

Office #1: 9335 Harris Corners Parkway Ste 150, Charlotte, NC 28269

CRD#: 36509

CHARLOTTE, NC

Past

November 26, 2018 - October 27, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

Southlake, TX

Past

November 26, 2018 - October 27, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Southlake, TX

Past

November 15, 2018 - October 27, 2020

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

Past

May 16, 2017 - June 8, 2018

TD AMERITRADE, INC.

CRD#: 7870

Southlake, TX

Past

December 10, 2015 - January 7, 2016

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

April 15, 2008 - March 27, 2009

GFI SECURITIES LLC

CRD#: 19982

NEW YORK, NY

Past

December 19, 2007 - February 27, 2008

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

April 3, 2007 - October 24, 2007

TRADITION SECURITIES AND DERIVATIVES LLC

CRD#: 28269

NEW YORK, NY

Past

December 1, 2003 - May 16, 2006

GFI SECURITIES LLC

CRD#: 19982

NEW YORK, NY

Past

September 18, 2003 - December 17, 2003

INTER-DEALER BROKERS LLC

CRD#: 45502

NEW YORK, NY

Past

May 13, 2003 - August 26, 2003

HUDSON SECURITIES,INC.

CRD#: 10467

JERSEY CITY, NJ

Past

May 17, 2000 - December 2, 2002

APEX CLEARING CORPORATION

CRD#: 13071

DALLAS, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

North Carolina
(6/1/2022)

IAR

North Carolina
(6/1/2022)

Texas
(6/1/2022)

IAR

Texas
(6/1/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/24/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/25/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 6/8/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/10/2015

General Securities Representative Examination

General Industry/Product Exam

Series 55

Date: 6/2/2000

Limited Representative-Equity Trader Exam

SRO Registrations

FINRA

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

ALIGHT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS, LLC | AON HEWITT FINANCIAL ADVISORS LLC

CRD#: 158744 / SEC#: 801-72679

RIA

Registered Investment Advisory firm - (9/13/2011 Approved)

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Contact information

Main Address

9335 Harris Corners Parkway Suite 150, Charlotte, NC 28269

Mailing Address

Phone number

(866) 560-7256

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA ALIGHT IRA ADV PART 2A 2B 03.12.25 (3/31/2025)

AFA PROFESSIONAL MANAGEMENT ADV PART 2A 2B 3.12.25 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	197,089
AUM (Assets Under Management)	$ 30,882,928,556

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.

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Anthony J. Cafaro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Joseph Cafaro's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALIGHT FINANCIAL SOLUTIONS, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

FIDELITY BROKERAGE SERVICES LLC

GFI SECURITIES LLC

TRADITION SECURITIES AND DERIVATIVES LLC

TRADITION SECURITIES AND DERIVATIVES LLC

GFI SECURITIES LLC

INTER-DEALER BROKERS LLC

HUDSON SECURITIES,INC.

APEX CLEARING CORPORATION

Primary Firm SEC Registration

ALIGHT FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/24/2018

Series 63

Date: 5/25/2017

SIE

Date: 6/8/2018

Series 7

Date: 12/10/2015

Series 55

Date: 6/2/2000

FINRA

Current Firm

ALIGHT FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALIGHT FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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