Jeffrey C. Caliva

LUCID CAPITAL MARKETS

New York, NY 10022

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CRD#: 5784089

Professional summary

Jeffrey Charles Caliva, who also goes by Jeffrey Caliva, is a registered financial professional currently at LUCID CAPITAL MARKETS, LLC located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2010. Jeffrey has worked at 3 firms and has passed the Series 66, Series 79TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jeffrey Caliva

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.

Cape Clogs Inc; Shoe distribution; 8119 Oak St New Orleans, LA 70118; CFO / Treasurer; App 5-10 hrs per week/ 0 during business hours; Investment to purchase inventory and for operating business; Compensation based on profit of entity ( partnership distributions) - zero salary/wages; Start date: 01/1/24

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Charles Caliva'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 6, 2024 - Present

LUCID CAPITAL MARKETS, LLC

Office #1: 570 Lexington Avenue 40th Fl., New York, NY 10022

CRD#: 140345

New York, NY

Past

September 30, 2010 - May 2, 2024

LADENBURG THALMANN ASSET MANAGEMENT INC

RIA

CRD#: 108604

Houston, TX

Past

July 20, 2010 - May 2, 2024

LADENBURG THALMANN & CO. INC.

CRD#: 505

Houston, TX

State Registrations and Notice Filings

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

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

Arizona
(5/13/2024)

California
(5/13/2024)

Connecticut
(5/13/2024)

Florida
(5/13/2024)

Illinois
(5/13/2024)

Maryland
(5/13/2024)

Massachusetts
(5/13/2024)

New Jersey
(5/13/2024)

New York
(5/6/2024)

North Carolina
(5/13/2024)

Ohio
(5/13/2024)

Pennsylvania
(5/13/2024)

Texas
(5/13/2024)

Virginia
(5/13/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/2/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 79TO

Date: 11/26/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/2010

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

CRD#: 140345 / SEC#: , 8-67305

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

New York Stock Exchange 11 Wall Street Pod-p, New York, NY 10005

Mailing Address

C/o Accounting & Compliance International 199 Water Street 9th Floor, New York, NY, 10038

Phone number

(212) 306-2700

Established

New York since 06/15/2015

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (25 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GI4 HOLDINGS, LLC	SOLE PROPRIETOR
IANNONE, JOHN VINCENT JR.	CHIEF FINANCIAL OFFICER AND OPERATIONS PRINCIPAL	1616912
SHAPIRO, ANDREW JAY	CHIEF COMPLIANCE OFFICER	1104658
TANIOS, FADY	CEO	4213894
YANNOTTI, ALEXANDER ANTHONY	FINANCIAL OPERATIONS PRINCIPAL	1333893

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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Firm Stability Insights

Jeffrey C. Caliva

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Charles Caliva's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADENBURG THALMANN ASSET MANAGEMENT INC

LADENBURG THALMANN & CO. INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/2/2010

Series 79TO

Date: 11/26/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2010

FINRA

NYSE American LLC

New York Stock Exchange

Current Firm

LUCID CAPITAL MARKETS, LLC

Contact information

FINRA licenses (25 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LUCID CAPITAL MARKETS, LLC

TRUST BUT VERIFY

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