Raymond Dominic Caggiano

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

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

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

Current Employers

Employment History

• 12/2015 → 10/2018
  Sorrento Pacific Financial, Llc
  San Diego, CA
• 10/2018 → 07/2020
  Santander Bank, Na
  Boston, MA
• 10/2018 → 07/2020
  Santander Securities, Llc
  Dorchester, MA
• 09/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Manasquan, NJ
• 04/2019 → 09/2019
  Massachusetts Mutual
  Boston, MA

Previous Registrations

• 2018-11-08 → 2020-07-31
  Santander Securities Llc
  Oakhurst, NJ
  Scotch Plains, NJ
  Little Silver, NJ
  Red Bank, NJ
  Villanova, PA
• 2017-02-02 → 2018-10-30
  Sorrento Pacific Financial, Llc
  San Diego, CA
  Brick, NJ
  Point Pleasant Beanch, NJ
  Long Branch, NJ
  Red Bank, NJ
  Barnegat, NJ
  Point Pleasant Beach, NJ
  Middletown, NJ
  Shrewsbury, NJ

Other Businesses

1. UCPC Family Partnership, managing partner, family partnership that owns commercial property, non-investment related, start date 06/15/2015, Brick NJ, one hour monthly, none during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2017-01-23
• S63 Uniform Securities Agent State Law Examination
  1998-10-01

Other Names

• Raymond Dominic Caggiano
• Raymond Caggiano
• Raymond Dominic Caggiano
• Raymond D Caggiano