Charles R. Caccese
Professional summary
Charles Richard Caccese is a registered financial professional currently at ARCHIPELAGO SECURITIES L.L.C. located in New York, New York.
Charles is registered as a RR (Registered Representative) and started their career in finance in 2003. Charles has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles Richard Caccese's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 2, 2025 - Present
ARCHIPELAGO SECURITIES L.L.C.
Office #1: 11 Wall Street, New York, NY 10005September 26, 2003 - September 18, 2015
J. STREICHER & CO. L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
24X National Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Current Firm
ARCHIPELAGO SECURITIES L.L.C.
CRD#: 102500 / SEC#: , 8-52140
Contact information
FINRA licenses (6 States and Territories)
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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