Articles Tagged with Richard Caccamise

Richard CaccamisePublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 12, 2018 indicate that Florida-based Raymond James & Associates broker/adviser Richard Caccamise has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caccamise (CRD# 2203585).

Richard Caccamise has spent 25 years in the securities industry and has been registered with Raymond James & Associates in Aventura and Fort Lauderdale, Florida since 1998. Previous registrations include Prudential Securities in New York, New York (1994-1998); Duke & Company in New York, New York (1993-1994); and Prudential Securities in New York, New York (1992-1993). He has passed seven securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on March 11, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 10, 1993; Series 31 (Futures Managed Funds Examination), which he obtained on September 10, 2007; Series 7 (General Securities Representative Examination), which he obtained on December 15, 1992; Series 10 (General Securities Sales Supervisor – General Module Examination), which he obtained on September 16, 2005; Series 9 (General Securities Sales Supervisor – Options Module Examination), which he obtained on September 9, 2005; and Series 24 (General Securities Principal Examination), which he obtained on September 28, 1993. He is registered with 47 US states and territories and with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.