Individual Firm
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CHERYL ANN CAGGIANO
CHERYL CAGGIANO, CHERYL ANN ANN CAGGIANO
CRD#: 4613808
IA
B
MORGAN STANLEYCRD#: 149777 Carolina Shores, NC
0
Disclosures
22
Years of Experience
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State Registrations
B
Arizona 8/11/2023
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Nevada 8/11/2023
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California 8/11/2023
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New Hampshire 8/11/2023
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Colorado 8/11/2023
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New Jersey 8/11/2023
B
Connecticut 8/11/2023
B
New York 8/11/2023
IA
Connecticut 8/11/2023
B
North Carolina 8/11/2023
B
Florida 8/11/2023
IA
North Carolina 8/11/2023
B
Georgia 8/11/2023
B
Oregon 8/11/2023
B
Hawaii 8/11/2023
B
Pennsylvania 8/11/2023
B
Illinois 8/11/2023
B
Rhode Island 8/11/2023
B
Iowa 8/11/2023
B
South Carolina 8/11/2023
B
Kansas 8/11/2023
B
Tennessee 8/11/2023
B
Maryland 8/11/2023
B
Texas 8/11/2023
B
Massachusetts 8/11/2023
IA
Texas 8/11/2023
B
Michigan 8/11/2023
B
Washington 8/11/2023
B
Montana 8/11/2023
B
West Virginia 8/11/2023
SRO Registrations
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IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/25/2015 - 08/22/2023 | WESTPORT, CT | |
B | 06/25/2015 - 08/22/2023 | WESTPORT, CT | |
IA | 06/01/2009 - 06/12/2015 | WESTPORT, CT | |
B | 06/01/2009 - 06/12/2015 | WESTPORT, CT | |
IA | 07/19/2007 - 06/01/2009 | GREENWICH, CT | |
B | 07/19/2007 - 06/01/2009 | GREENWICH, CT | |
IA | 03/21/2003 - 07/10/2007 | DARIEN, CT | |
B | 02/20/2003 - 07/10/2007 | DARIEN, CT |
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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.