Anthony Caiola

CRD 6078103 · Charles Schwab & Co., Inc. · Orlando, FL

IA RegisteredBroker

Also appears in the source record as: Anthony Vincent Caiola

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 65Series 63
Registered states (30): Alabama · Arizona · Arkansas · California · Colorado · Connecticut · District Of Columbia · Florida · Georgia · Illinois · Indiana · Kansas · Kentucky · Louisiana · Maryland · Massachusetts · Michigan · Mississippi · New Jersey · New York · North Carolina · Ohio · Pennsylvania · Rhode Island · South Carolina · Texas · Utah · Virgin Islands · Virginia · Wisconsin
Years in the industry (source record): 7
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Charles Schwab & Co., Inc.
Firm CRD: 5393
SEC number: 801-29938
Assets under management: Not yet retrieved from the source record
Website: www.linkedin.com/COMPANY/SCHWAB-ADVISOR-SERVICES ↗
Phone: 415-667-7000
Firm location: San Francisco, CA, 94105

Employment history (12)

From the source registration record · current first

Charles Schwab & Co., Inc.Current
Orlando, FL · IA capacity

start not retrieved → present
Charles Schwab & Co., Inc.Current
Orlando, FL · BC capacity

start not retrieved → present
Severin Investments LLC
Clearwater, FL · IA capacity

Jun 6, 2024 → Aug 19, 2024
Rm Investment Strategies, LLC
Grand Rapids, MI · IA capacity

Apr 5, 2024 → May 28, 2024
Morgan Stanley
Purchase, NY · IA capacity

Mar 11, 2022 → Sep 13, 2023
Morgan Stanley
Purchase, NY · BC capacity

Mar 11, 2022 → Sep 13, 2023
Nylife Distributors LLC
White Plains, NY · BC capacity

Jul 23, 2019 → Jan 24, 2022
Nylife Securities LLC
New York, NY · BC capacity

Sep 4, 2018 → Jul 25, 2019
Prudential Investment Management Services LLC
Newark, NJ · BC capacity

Jun 11, 2014 → Jul 18, 2014
Axa Advisors, LLC
Woodbridge, NJ · BC capacity

Mar 31, 2014 → Jun 3, 2014
Laidlaw & Company (Uk) Ltd.
New York, NY · BC capacity

Apr 2, 2013 → Nov 1, 2013
National Securities Corporation
Iselin, NJ · BC capacity

Nov 15, 2012 → Apr 5, 2013

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 6078103 ↗ FINRA BrokerCheck record for CRD 6078103 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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