Rodolfo P. Caceres

STONEX FINANCIAL

Boca Raton, FL 33431

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CRD#: 4654276

Professional summary

Rodolfo Patricio Caceres, who also goes by R. Patricio Caceres, Rodolfo Patricio Caceres, is a registered financial professional currently at STONEX FINANCIAL INC. located in Boca Raton, Florida.

Rodolfo is registered as a RR (Registered Representative) and started their career in finance in 2004. Rodolfo has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

R. Patricio Caceres | Rodolfo Patricio Caceres

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 Rodolfo Patricio Caceres'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

September 8, 2022 - Present

STONEX FINANCIAL INC.

Office #1: 2600 North Military Trail Suite 100, Boca Raton, FL 33431

CRD#: 45993

Boca Raton, FL

Past

December 3, 2021 - August 2, 2022

AXOS CLEARING LLC

CRD#: 117176

ISELIN, NJ

Past

June 7, 2010 - July 17, 2018

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

May 7, 2008 - August 26, 2008

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

THORNWOOD, NY

Past

May 7, 2008 - August 26, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

THORNWOOD, NY

Past

October 29, 2007 - March 20, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHAPPAQUA, NY

Past

May 29, 2007 - September 6, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CHAPPAQUA, NY

Past

April 18, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

September 9, 2004 - October 17, 2005

BROWN BROTHERS HARRIMAN & CO.

CRD#: 104487

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

IAR

Series 65

Date: 5/29/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/21/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/17/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/8/2004

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

CRD#: 45993 / SEC#: , 8-51269

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Mailing Address

329 Park Avenue North Suite 350, Winter Park, FL 32789

Phone number

(407) 741-5300

Established

Florida since 05/29/1998

Firm type

Corporation

Fiscal year end

September

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
STONEX GROUP INC.	OWNER
BOLTE, DAVID ALBERT	SECRETARY	2711410
DAVISON, STUART ANDREW	DIRECTOR; CHIEF OPERATING OFFICER	7824576
DICIOLLO, ANTHONY JOSEPH	PRESIDENT/DIRECTOR	4976402
DUNAWAY, WILLIAM JOHN	DIRECTOR, CHIEF FINANCIAL OFFICER	6505923
LYON, CHARLES MARTIN	DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER	4000852
MAURER, MARK L	DIRECTOR, CHIEF RISK OFFICER	4234406
PORZIO, JOSEPH JOHN	FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER	1319702
SMITH, PHILIP ANDREW	DIRECTOR	4999097
SZEKELY, GIGI KLARA	CHIEF COMPLIANCE OFFICER - BD DIVISION	2530826

Disclosures

Regulatory Event

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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Rodolfo P. Caceres

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rodolfo Patricio Caceres's CRS (Customer Relationship Summary).

Certified licenses

Experience

AXOS CLEARING LLC

PERSHING LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

BROWN BROTHERS HARRIMAN & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/2007

Series 63

Date: 12/21/2004

SIE

Date: 7/17/2018

Series 7

Date: 9/8/2004

FINRA

Nasdaq Stock Market

Current Firm

STONEX FINANCIAL INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

STONEX FINANCIAL INC.

TRUST BUT VERIFY

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