Olina M. Cavedoni
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Olina Ming Yi Cavedoni was a registered financial professional .
Olina is a previously registered financial professional and started their career in finance in 2015. Olina had worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2022 - October 31, 2023
REGENCY CAPITAL MANAGEMENT INC.
June 29, 2018 - January 19, 2021
CADINHA & CO LLC
December 15, 2016 - June 28, 2018
PRUCO SECURITIES, LLC.
December 2, 2015 - June 28, 2018
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
REGENCY CAPITAL MANAGEMENT INC.
CRD#: 312435 / SEC#: 801-120277
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
Current Firm
REGENCY CAPITAL MANAGEMENT INC.
CRD#: 312435 / SEC#: 801-120277
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 327 |
| AUM (Assets Under Management) | $ 303,843,360 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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