Joseph CaggianoCRD Number: 3070320
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Joseph Caggiano (CRD# 3070320) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Lincoln, RI and has over 11 years of experience in the finance industry.
Spinnaker Asset Management Inc.
Financial Independence, LLC
Genesis Wealth Advisors, LLC
|Bank Of America, N.a.||Lincoln, RI||Aug 2014 - Current||2|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Lincoln, RI||Jul 2014 - Current||2|
|John Hancock Distributors LLC||Boston, MA||Jan 2013 - Jun 2014||1|
|Fidelity Investments||Smithfield, RI||Jun 2012 - Jan 2013||< 1|
|Fidelity Investments Institutional Services Company, Inc.||Smithfield, RI||Jun 2012 - Jan 2013||< 1|
|Usa Hockey||Colorado Springs, CO||Sep 1996 - Jun 2012||15|
|John Hancock Distributors LLC||Boston, MA||Feb 2012 - May 2012||< 1|
|John Hancock Funds, LLC||Boston, MA||Aug 2010 - May 2012||1|
|John Hancock Distributors LLC||Boston, MA||Jun 2009 - May 2012||2|
|John Hancock||Boston, MA||Apr 2009 - May 2012||3|
|John Hancock Distributors LLC||Boston, MA||Jun 2009 - Aug 2010||1|
|John Hancock Funds, LLC||Boston, MA||Jun 2007 - Jun 2009||2|
|John Hancock Funds, LLC||Boston, MA||Jun 2007 - Mar 2009||1|
|Cco Investment Services Corp||Framingham, MA||Jun 2006 - Jun 2007||1|
|Exam Code||Name||Passed Date|
|S65||NASAA Investment Advisors Law Examination||Aug 2014|
|S63||Uniform Securities State Law Examination||Dec 2004|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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