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MICHAEL XAVIER CAGGIANO
CRD#: 1934069
IA
Investment Adviser
B
Broker
COMMONWEALTH FINANCIAL NETWORKCRD#: 8032 16 FRONT STREET
SUITE 204
SALEM, MA 01970
Registration History
199019952000200520102015202020252 FIRMS2004 - Present (20 years)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2002 - 2004 (1 year)BFIRST UNION SECURITIES FINANCI... (CRD# 11025)1994 - 2002 (7 years)BHIBBARD BROWN & CO., INC. (CRD# 18246)1989 - 1994 (5 years)IA1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2003 - 2004 (1 year)IAFIRST UNION SECURITIES FINANCI... (CRD# 11025)2002 - 2002 (<1 year)
Disclosure(s)
View By:
9/15/1994
Customer Dispute
Settled
License(s)

State Registrations

B
Connecticut 4/14/2004

B
New Hampshire 4/1/2004

B
Florida 4/1/2004

B
New Jersey 6/12/2024

B
Maine 4/2/2004

B
New York 4/1/2004

IA
Massachusetts 4/1/2004

B
Virginia 2/2/2018

B
Massachusetts 4/5/2004

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
16 FRONT STREET SUITE 204, SALEM, MA 01970
Registered with this firm since 4/1/2004

B
COMMONWEALTH FINANCIAL NETWORK (CRD#:8032)
16 FRONT STREET SUITE 204, SALEM, MA 01970
Registered with this firm since 4/1/2004

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/14/2003 - 04/14/2004 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWTON, MA
B
05/29/2002 - 04/14/2004 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
IA
05/13/2002 - 06/03/2002 FIRST UNION SECURITIES FINANCIAL NETWORK, INC. (CRD#:11025) SALEM, MA
B
08/01/1994 - 06/03/2002 FIRST UNION SECURITIES FINANCIAL NETWORK, INC. (CRD#:11025) ST. LOUIS, MO
B
03/21/1989 - 08/04/1994 HIBBARD BROWN & CO., INC. (CRD#:18246)
FINRA expelled the firm on 02/22/1996
NEW YORK, NY
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B
Broker
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Investment Adviser
Disclosures
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.