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Anthony Edward Caba

Transition Financial Advisors Group, LLC

Gilbert, AZ

Miami, FL

CRD 8002570

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Employer firm

Transition Financial Advisors Group, LLC CRD 116089

$301M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Selection of other advisers
  • TAX PREPARATION

From the firm’s Form ADV. Read the guides:

Current Employers
Transition Financial Advisors Group, Llc

Gilbert, AZ • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-12-16
FL RA APPROVED 2024-11-21
TX RA APPROVED 2024-10-31
  • AZ RA
    APPROVED
    Since 2024-12-16
  • FL RA
    APPROVED
    Since 2024-11-21
  • TX RA
    APPROVED
    Since 2024-10-31

Branch Locations

Gilbert, AZ • United States

Miami, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Florida International University Miami FL 10/2013 12/2017
Office Depot Boca Raton FL 01/2018 06/2021
Transition Financial Advisors Group Miami FL 06/2021 Present
  • 10/2013 → 12/2017
    Florida International University
    Miami, FL
  • 01/2018 → 06/2021
    Office Depot
    Boca Raton, FL
  • 06/2021 → Present
    Transition Financial Advisors Group
    Miami, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-10-02
  • S65 Uniform Investment Adviser Law Examination
    2024-10-02
Other Names
  • Tony Caba

View on SEC IAPD

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