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Stephen John Cavoli

VIRTU AMERICAS

New York, NY

·CRD# 4468202·25 years experience

Professional Summary

Stephen John Cavoli, who also goes by Stephen John Cavoli Sr, is a registered financial advisor currently at VIRTU AMERICAS LLC located in New York, New York. Stephen is registered as a RR (Registered Representative) and started their career in finance in 2001. Stephen has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 6, Series 4 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Stephen John Cavoli Sr

Blog Corner

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

What Does a Financial Advisor Do? Understanding Their Role, Services, and Value

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

Do I Need a Financial Advisor? A Complete Guide to Deciding If It’s Right for You

What Are Financial Values and How to Align Them With Your Financial Goals

What Are Financial Values and How to Align Them With Your Financial Goals

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

25 years in the financial services industry

Current & Past Employments

VIRTU AMERICAS LLC·CRD# 149823

BD

1. 1633 Broadway 41st Fl, New York, NY 100192. 101 Jfk Parkway 6th Floor, Short Hills, NJ 07078

July 21, 2017 - Present

VIRTU ITG LLC·CRD# 29299

BD

New York, NY

March 1, 2019 - August 3, 2020

VIRTU ALTERNET SECURITIES LLC·CRD# 47867

BD

New York, NY

March 1, 2019 - November 3, 2020

VIRTU FINANCIAL BD LLC·CRD# 148390

BD

Austin, TX

September 9, 2015 - November 2, 2017

VIRTU FINANCIAL CAPITAL MARKETS LLC·CRD# 45986

BD

New York, NY

September 9, 2015 - April 9, 2020

MORGAN STANLEY & CO. LLC·CRD# 8209

BD

New York, NY

April 28, 2004 - September 1, 2015

INET ATS, INC.·CRD# 20746

BD

Jersey City, NJ

March 17, 2003 - May 11, 2004

INSTINET, LLC·CRD# 42886

BD

New York, NY

January 30, 2002 - May 11, 2004

ENDATUM SECURITIES, INC.·CRD# 23734

BD

San Diego, CA

November 6, 2001 - January 15, 2002

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Current Firm

VA

VIRTU AMERICAS LLC

KCG AMERICAS LLC | VIRTU AMERICAS LLC | KNIGHT EXECUTION & CLEARING SERVICES LLC | KNIGHT CLEARING SERVICES LLC | KNIGHT CAPITAL AMERICAS LLC

CRD#: 149823 / SEC#: 8-68193

BD

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

Contact Information

Main Address

1633 Broadway 41st Floor, New York, NY 10019

Mailing Address

1633 Broadway 41st Floor, New York, NY 10019

Phone Number

(646) 682-6000

Established

Delaware since 02/06/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Medium

FINRA licenses (51 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

Name	Position	CRD#
VIRTU STRATEGIC HOLDINGS LLC.	OWNER	—
CAVOLI, STEPHEN JOHN	CEO	4468202
MILLER, JUSTIN WADE	CHIEF COMPLIANCE OFFICER	6418036
RUPPRECHT, NICHOLAS ANDREW	PRINCIPAL OPERATIONS OFFICER	5790389
SULLIVAN, JOHN GERALD	FINOP	4330347

Disclosures

Regulatory Event

79

Civil Event

1

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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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.

RR

Texas
(11/20/2018)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jul 2002About the Series 63 exam

Series 57TO — Securities Trader Exam

Passed Jan 2023About the Series 57TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed May 2007About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Nov 2005

Series 7 — General Securities Representative Examination

Passed Mar 2002About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 2001About the Series 6 exam

Series 4 — Registered Options Principal Examination

Passed May 2009About the Series 4 exam

Series 24 — General Securities Principal Examination

Passed Oct 2008About the Series 24 exam

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CRS (Client Relationship Summary) - BD

Click below to view Stephen John Cavoli's CRS (Customer Relationship Summary).

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SC

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