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DANIEL THOMAS CAUCEGLIA
DANIEL THOMAS CAUCEULIA
CRD#: 1490736
IA
B
AVENTURA CAPITAL MANAGEMENT, LLCCRD#: 142478 5550 GLADES ROAD
SUITE 535
BOCA RATON, FL 33431
SUITE 535
BOCA RATON, FL 33431
AVENTURA SECURITIES, LLCCRD#: 142374 5550 Glades Road
Suite 305-15
Boca Raton, FL 33431
Suite 305-15
Boca Raton, FL 33431
0
Disclosures
24
Years of Experience
View By:
State Registrations
B
Arkansas 12/4/2019
B
Michigan 9/25/2023
B
California 1/15/2009
B
Nevada 3/29/2022
IA
California 1/6/2011
B
New Hampshire 2/2/2009
B
Colorado 9/22/2023
IA
New Hampshire 1/26/2011
B
Connecticut 6/6/2007
B
New Jersey 2/1/2007
IA
Connecticut 1/10/2011
IA
New Jersey 1/5/2011
IA
Florida 12/4/2006
B
New York 1/25/2007
B
Florida 1/23/2007
B
Oregon 9/19/2023
B
Illinois 6/8/2007
B
Pennsylvania 1/29/2007
IA
Illinois 1/5/2011
IA
Pennsylvania 1/18/2011
B
Indiana 9/6/2023
B
Rhode Island 2/23/2009
B
Iowa 1/2/2009
B
South Carolina 9/6/2023
IA
Iowa 1/16/2018
B
Texas 6/29/2021
B
Maine 2/13/2009
B
Utah 1/19/2007
IA
Maine 1/6/2011
IA
Utah 1/11/2011
IA
Maryland 1/11/2011
IA
Vermont 9/6/2016
B
Maryland 1/25/2011
B
Virginia 1/2/2009
B
Massachusetts 2/2/2007
B
Wisconsin 7/29/2019
IA
Massachusetts 1/10/2011
SRO Registrations
B
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B
Registered with this firm since 1/19/2007
IA
Registered with this firm since 12/4/2006
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/04/2006 - 12/31/2010 | AVENTURA, FL | |
IA | 03/02/2005 - 12/06/2006 | MONTVALE , NJ | |
B | 04/18/2002 - 12/05/2006 | MONTVALE, NJ | |
B | 02/04/1998 - 12/23/1998 | NEWARK, DE | |
B | 07/24/1997 - 01/15/1998 | SPRINGFIELD, MA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.