Christopher Caso
Professional summary
Christopher Caso, who also goes by Christopher Caso, is a registered financial professional currently at WOLFE RESEARCH SECURITIES located in New York, New York.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2001. Christopher has worked at 8 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Caso's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 5, 2023 - Present
WOLFE RESEARCH SECURITIES
Office #1: 757 Third Avenue Sixth Floor, New York, NY 10017October 12, 2022 - August 2, 2023
CREDIT SUISSE SECURITIES (USA) LLC
May 16, 2017 - October 6, 2022
RAYMOND JAMES & ASSOCIATES, INC.
April 13, 2016 - March 8, 2017
CLSA AMERICAS, LLC
April 16, 2010 - March 23, 2016
SUSQUEHANNA FINANCIAL GROUP, LLLP
December 10, 2004 - July 10, 2007
B. RILEY SECURITIES, INC.
August 12, 2004 - November 9, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
May 28, 2004 - August 16, 2004
CHARLES SCHWAB & CO., INC.
February 14, 2001 - May 28, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/5/2023)
Exams
FINRA
Current Firm
WOLFE RESEARCH SECURITIES
CRD#: 151850 / SEC#: , 8-68406
Contact information
FINRA licenses (48 States and Territories)
Documents
Disclosures
| Regulatory 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.
