Caleb A. Navarro Moreno
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.
Caleb A. Navarro Moreno, who also goes by Caleb Navarro, Caleb Navarro Moreno, was a registered financial professional .
Caleb is a previously registered financial professional and started their career in finance in 2001. Caleb had worked at 5 firms and has passed the Series 6TO, Series 52TO, SIE, Series 7, Series 6, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2023 - December 31, 2023
BRIDGE CAPITAL ASSOCIATES, INC.
September 21, 2020 - May 7, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 9, 2013 - October 1, 2018
FIRST BANK PUERTO RICO SECURITIES, CORP.
September 12, 2005 - September 4, 2013
POPULAR SECURITIES, LLC
October 22, 2001 - February 5, 2005
PFS INVESTMENTS 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
Series 6TO
Date: 7/20/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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