Elisa Caba
Professional summary
Elisa Caba, who also goes by Elisa Maria Caba, Elisa Maria Mendez, Elisa Mendez, is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.
Elisa is registered as a RR (Registered Representative) and started their career in finance in 2008. Elisa has worked at 7 firms and has passed the Series 99TO, Series 52TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Elisa Caba's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 23, 2025 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169September 26, 2023 - October 20, 2025
MIRAE ASSET SECURITIES (USA) INC.
January 10, 2022 - October 10, 2023
CANACCORD GENUITY LLC
June 22, 2021 - January 3, 2022
GFI SECURITIES LLC
March 11, 2016 - January 3, 2022
BGC FINANCIAL, L.P.
July 2, 2012 - March 11, 2016
VIRTU AMERICAS LLC
April 23, 2008 - July 2, 2012
KNIGHT CAPITAL AMERICAS, L.P.
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
Series 99TO
Date: 9/26/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/16/2011
Limited Representative-Equity Trader ExamFINRA
Nasdaq Stock Market
Current Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
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 | 75 |
Red Flags
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