Articles Tagged with Robert Caffery

Robert Caffery

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 13, 2019 indicate that California-based Morgan Stanley broker/adviser Robert Caffery has received resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Caffery (CRD# 1174735).

Robert Caffery has spent 35 years in the securities industry and has been registered with Morgan Stanley in Palm Desert, California since 2009. Previous registrations include Morgan Stanley & Company in Palm Desert, California (2007-2009) and Morgan Stanley DW in Palm Desert, California (1983-2007). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 26, 1983; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 3 (National Commodity Futures Examination), which he obtained on September 18, 1990; Series 7 (General Securities Representative Examination), which he obtained on August 20, 1983; and Series 8 (General Securities Sales Supervisor Examination [Options Module & General Module]), which he obtained on January 30, 1989. He is a registered broker and investment adviser wth 17 US states and territories: Alabama, Alaska, Arizona, California, Colorado, Florida, Illinois, Maine, Michigan, Nebraska, Nevada, New Mexico, New York, Ohio, Tennessee, Texas, and Washington. He is registered with four self-regulatory organizations (SROs): FINRA, NYSE American LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

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