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Detailed Report
Robert Nicholas Edward Caine
ROBERT NICHOLAS CAINE, Robert Caine, Nicholas Caine, Nick Caine
CRD#: 6529379
IA
Investment Adviser
B
Broker
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 130 LINCOLN AVENUE
2ND FLOOR
SANTA FE, NM 87501
Registration History
2015201620172018201920202021202220232024202520262 FIRMS2015 - 2015 (<1 year)2 FIRMS2018 - 2020 (1 year)2 FIRMS2020 - 2022 (2 years)2 FIRMS2022 - 2023 (1 year)2 FIRMS2023 - Present (1 year)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2015 - 2018 (2 years)
License(s)

State Registrations

B
Arizona 9/14/2023
IA
New Mexico 9/15/2023
B
New Mexico 9/14/2023

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
130 LINCOLN AVENUE 2ND FLOOR, SANTA FE, NM 87501
Registered with this firm since 9/15/2023
B
STIFEL, NICOLAUS & COMPANY, INCORPORATED (CRD#:793)
130 LINCOLN AVENUE 2ND FLOOR, SANTA FE, NM 87501
Registered with this firm since 9/14/2023
Previous Registration(s)
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IA
 07/12/2022 - 09/07/2023 BLACKROCK INVESTMENT MANAGEMENT, LLC (CRD#:108928) Atlanta, GA
B
 07/12/2022 - 09/07/2023 BLACKROCK INVESTMENTS, LLC (CRD#:38642) Atlanta, GA
IA
 03/05/2020 - 06/08/2022 INVESCO ADVISERS, INC. (CRD#:105360) ATLANTA, GA
B
 03/04/2020 - 06/08/2022 INVESCO DISTRIBUTORS, INC. (CRD#:7369) ATLANTA, GA
IA
 06/06/2018 - 02/19/2020 THORNBURG INVESTMENT MANAGEMENT INC (CRD#:106357) SANTA FE, NM
B
 05/08/2018 - 02/19/2020 THORNBURG SECURITIES CORPORATION (CRD#:14857) SANTA FE, NM
B
 12/22/2015 - 04/24/2018 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) NEW YORK, NY
IA
 09/18/2015 - 10/16/2015 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
 08/05/2015 - 10/16/2015 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.