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MR

Maria Rabinovich

CAPLIGHT MARKETS
San Francisco, CA 94105
Some features on this profile are disabled
CRD#: 4560548
MR

Professional summary

Maria Rabinovich is a registered financial professional currently at CAPLIGHT MARKETS LLC located in San Francisco, California.

Maria is registered as a RR (Registered Representative) and started their career in finance in 2003. Maria has worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Maria Rabinovich'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

April 6, 2026 - Present

CAPLIGHT MARKETS LLC

Office #1: 531 Howard Street 4th Floor, San Francisco, CA 94105
BD
CRD#: 103970
San Francisco, CA
Past

April 16, 2007 - December 31, 2008

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

December 10, 2004 - April 17, 2007

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY
Past

October 8, 2003 - March 9, 2004

RBC CAPITAL MARKETS CORPORATION

BD
CRD#: 6579
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/7/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/30/2026
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CM
CAPLIGHT MARKETS LLC
CAPLIGHT MARKETS LLC | PROSPERO CAPITAL LLC

CRD#: 103970 / SEC#: , 8-52440

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
531 Howard Street 4th Floor, San Francisco, CA 94105
Mailing Address
531 Howard Street 4th Floor, San Francisco, CA 94105
Phone number
(917) 456-2371
Established
Connecticut since 01/14/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CAPLIGHT TECHNOLOGIESOWNER
AVALOS, JAVIER CHRISTIANCEO5836369
CHUNG, MICHAEL NMNFINOP, PFO, POO5739877
MERLINO, NICHOLAS JOSEPHCCO5730516

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.

Company Information

CAPLIGHT MARKETS LLC

CRD#: 103970San Francisco, CA 94105

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