Nicole A. Caballero
Professional summary
Nicole Ashley Caballero, who also goes by Nicole Caballero, is a registered financial professional currently at CNR SECURITIES, LLC located in New York, New York.
Nicole is registered as a RR (Registered Representative) and started their career in finance in 2019. Nicole has worked at 3 firms and has passed the Series 99TO, Series 7TO, SIE and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicole Ashley Caballero's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 5, 2022 - Present
CNR SECURITIES, LLC
Office #1: 400 Park Avenue 3rd Floor, New York, NY 10022July 20, 2021 - June 13, 2022
SANTANDER SECURITIES LLC
June 25, 2019 - July 12, 2021
DINOSAUR FINANCIAL GROUP, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 5/20/2019
General Securities Representative ExaminationFINRA
Current Firm
CNR SECURITIES, LLC
CRD#: 18466 / SEC#: , 8-36759
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITY NATIONAL ROCHDALE HOLDINGS, LLC | MANAGING MEMBER / 100% OWNER | |
| BANUELOS, ALMA DELIA | BOARD DIRECTOR | 4530705 |
| BARTON, RICHARD JOSEPH | CHIEF COMPLIANCE OFFICER | 2040869 |
| CEPLER, MITCHELL DANIEL | CFO AND FINOP | 4554270 |
| DANIEL, JOBY SWANKUTTY | BOARD DIRECTOR | 6616727 |
| GIAQUINTO, GREGG | PRESIDENT, CHIEF EXECUTIVE OFFICER, & BOARD DIRECTOR | 3182583 |
| O'KEEFFE, IVOR PATRICK | BOARD DIRECTOR | 2397120 |
| RILEY, SHAWN DAVID | BOARD DIRECTOR | 8157413 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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