Amy Caffese, financial advisor Walnut Creek CA
93 score

Amy Caffese

CRD Number: 5350641
Current Firm: Rbc Capital Markets, LLC

Amy Caffese (CRD# 5350641) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Walnut Creek, CA and has over 10 years of experience in the finance industry.

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Company Name Location Dates Years
Rbc Capital Markets, LLC Walnut Creek, CA Aug 2017 - Current < 1
Wells Fargo Clearing Services, LLC Livermore, CA Nov 2016 - Aug 2017 < 1
Wells Fargo Bank Dublin/livermore, CA Mar 2002 - Aug 2017 15
Wells Fargo Advisors LLC Livermore, CA Jan 2011 - Nov 2016 5
Wells Fargo Investments, LLC Dublin/livermore, CA May 2007 - Jan 2011 3
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Aug 2007
Contact Info for Amy K. Caffese
Phone Number: 212-858-7000
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    106,032
    MILLIONS
  • Total Number of Accounts
    254,944
    ACCOUNTS
  • Average Account Value
    $415,903
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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