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RC

Robert J. Caie

HAYWOOD SECURITIES (USA)
Toronto, On, M5J 2T3
Some features on this profile are disabled
CRD#: 4670012
RC

Professional summary

Robert James Caie, who also goes by Bob James Caie, is a registered financial professional currently at HAYWOOD SECURITIES (USA) INC. .

Robert is registered as a RR (Registered Representative) and started their career in finance in 2003. Robert has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob James Caie

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 Robert James Caie'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

May 17, 2005 - Present

HAYWOOD SECURITIES (USA) INC.

Office #1: 2910 - 181 Bay Street, Toronto, On, M5J 2T3
BD
CRD#: 42072
Toronto, On,
Past

October 6, 2003 - March 29, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL

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 them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(10/4/2022)
RR
Colorado
(12/13/2024)
RR
Florida
(6/6/2019)
RR
New Jersey
(8/18/2016)
RR
North Carolina
(1/8/2019)
RR
Ohio
(9/22/2005)
RR
Texas
(1/21/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/29/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/2003
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

HS
HAYWOOD SECURITIES (USA) INC.
HAYWOOD (USA) SECURITIES INC. | HAYWOOD SECURITIES (USA) INC.

CRD#: 42072 / SEC#: , 8-49696

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Mailing Address
200 Burrard St Suite 700, Vancouver, Bc, V6C 3L6
Phone number
(604) 697-7400
Established
Firm type
Corporation
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (52 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#
HAYWOOD SECURITIES INC.SHAREHOLDER
BANARES, BERNADETTE BAUTISTACHIEF FINANCIAL OFFICER6928911
BLANCHARD, ROBERT CRAIGPRESIDENT & CHIEF EXECUTIVE OFFICER2814206
THOMPSON, STANLEY BRUCEHEAD OF COMPLIANCE, CHIEF COMPLIANCE OFFICER4936225
VIRVILIS, PETERNON CONTROL DIRECTOR7991478

Disclosures

Regulatory Event3

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

HAYWOOD SECURITIES (USA) INC.

CRD#: 42072Toronto, On, M5J 2T3

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