Joseph R. Cacia

COLLAR CAPITAL MANAGEMENT

STUDIO CITY, CA

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CRD#: 4562829

Professional summary

Joseph Richard Cacia is a registered financial advisor currently at COLLAR CAPITAL MANAGEMENT, LLC located in Studio City, California and ROSHELEN, INC. located in Santa Clarita, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Joseph has worked at 6 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

COLLAR CAPITAL MANAGEMENT, LLC; INVESTMENT RELATED; 2029 CENTURY PARK EAST, STE. 1400 LOS ANGELES, CA 90076; INVESTMENT ADVISORY SERVICES; INVESTMENT ADVISER REPRESENTATIVE; 12/2009; 90% OF HIS TIME DURING SECURITY TRADING HOURS Mr. Cacia is an investment advisor representative of Roshelen, Inc. (CRD# 170904), Investment Related, 18958 Lauren Lane, Santa Clarita, CA 91350-2195. Mr. Cacia is also a solicitor and client relationship manager to Collar Capital Management, LLC.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Richard Cacia'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

December 11, 2009 - Present

COLLAR CAPITAL MANAGEMENT, LLC

RIA

CRD#: 152325

STUDIO CITY, CA

Current

May 9, 2014 - Present

ROSHELEN, INC.

RIA

CRD#: 170904

Santa Clarita, CA

Past

Texas

Registered Investment Advisory firm - (6/12/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/12/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(12/11/2009)

IAR

Louisiana
(7/18/2024)

IAR

Texas
(8/15/2024)

IAR

Wisconsin
(12/14/2009)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/12/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/4/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/22/2002

General Securities Representative Examination

Current Firm

COLLAR CAPITAL MANAGEMENT, LLC

CRD#: 152325 / SEC#: 801-130159

RIA

Registered Investment Advisory firm - (4/30/2024 Approved)

California

Registered Investment Advisory firm - (7/12/2024 Terminated)

Louisiana

Registered Investment Advisory firm - (6/26/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (4/30/2019 Terminated)

Texas

Registered Investment Advisory firm - (6/12/2024 Terminated)

Wisconsin

Registered Investment Advisory firm - (6/12/2024 Terminated)

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Contact information

Main Address

100 West Lawrence St. Suite 418, Appleton, WI 54911

Mailing Address

Phone number

(920) 830-1556

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CCM - ADV PART 2: FIRM BROCHURE (3/14/2025)

Regulatory assets under management

Total Number of Accounts	269
AUM (Assets Under Management)	$ 146,848,133

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.

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Joseph R. Cacia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Richard Cacia's CRS (Customer Relationship Summary).

Certified licenses

Experience

ROSHELEN, INC.

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

COLLAR CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2002

Series 63

Date: 9/4/2002

Series 7

Date: 8/22/2002

Current Firm

COLLAR CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLLAR CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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