Douglas William Caggiano
Professional Summary
Douglas William Caggiano is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Nashville, Tennessee and ALLIANCEBERNSTEIN INVESTMENTS, INC. located in Nashville, Tennessee. Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Douglas has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
Disclosures on record.
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.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
Years of Experience
13 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
Current Firm
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
Contact Information
Main Address
501 Commerce Street, Nashville, TN 37203Phone Number
(615) 622-0000# of Employees
4,204SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
75,956AUM (Assets Under Management)
$763,401,000,000Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | Cover Page | Report |
| 11/25/2024 | Cover Page | Report |
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
Primary Firm SEC Registration
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
State Registrations and Notice Filings
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(7/29/2013)
(7/29/2013)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(7/29/2013)
(3/7/2024)
(7/29/2013)
(3/7/2024)
(3/7/2024)
(8/1/2019)
(3/7/2024)
(7/16/2013)
(3/7/2024)
(3/7/2024)
(3/8/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(7/29/2013)
(1/18/2023)
(1/19/2023)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
(3/7/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas William Caggiano's CRS (Customer Relationship Summary).
Similar Advisors
GLOBAL RETIREMENT PARTNERS LLC
MORGAN STANLEY
LPL FINANCIAL LLC
TRUIST ADVISORY SERVICES, INC.