Michelle Caba
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.
Michelle Caba, who also goes by Michelle Caba Matos, was a registered financial professional .
Michelle is a previously registered financial professional and started their career in finance in 2003. Michelle had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2013 - June 1, 2018
TD AMERITRADE, INC.
May 12, 2011 - January 29, 2013
TRADEWEB DIRECT LLC
April 7, 2006 - April 12, 2010
TRADEWEB LLC
September 10, 2004 - August 4, 2005
CITICORP INVESTMENT SERVICES
August 6, 2004 - August 4, 2005
CITICORP INVESTMENT SERVICES
April 27, 2004 - July 13, 2004
RYAN BECK & CO.
April 19, 2004 - July 13, 2004
RYAN BECK & CO.
September 22, 2003 - April 19, 2004
H. G. WELLINGTON & CO., INC.
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
