Stephen Francis Caggiano

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 01/1982 → Present
  Caggiano Associates
  Havertown, PA
• 07/2008 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 07/2008 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2006-09-26 → 2008-07-03
  Principal Securities, Inc.
  Havertown, PA
  Wayne, PA
  Havertown, PA

Other Businesses

1) CAGGIANO ASSOCIATES INC, Havertown, PA, 09/1982, Owner, TAX ACCOUNTING/PREPARATION COMPANY, INV REL, 180 HR/MO, 32 Trading 2) Stephen f Caggiano, Havertown, PA, 01/2000, Agent, INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES, INV REL, 1 HR/MO, 0 Trading 3) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 52556, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING. SEE EMPLOYMENT FOR START DATE.

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-09-25
• S63 Uniform Securities Agent State Law Examination
  1993-09-01

Other Names

• Stephen Francis Caggiano