Raymond Caggiano
Raymond Caggiano is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in New York, NY, with 25 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,738,212 clients with $1500B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
The program's fees consist of two parts: the fee you pay to Bank of America for its services, and a fee for the specific investment strategy you choose. The strategy fee, called the Style Manager Expense, generally ranges from 0.00% to 0.50% of your assets annually. Clients investing in strategies managed by related entities will not be charged a Style Manager Expense.
Location
One Bryant Park, New York, NY, 10036
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business Activities
Raymond is the managing partner of UCPC Family Partnership, which owns commercial property. He spends minimal time on this non-investment related activity.
Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Previous Registrations
Santander Securities
Santander Securities LLCBroker
Sorrento Pacific Financial, LLC
Sorrento Pacific Financial, LLCBroker
Santander Securities LLCBroker
LPL Financial LLCBroker
Allstate Financial Services, LLCBroker
Wells Fargo Advisors, LLCBroker
Citistreet Equities LLCBroker
Dean Witter Reynolds INC.Broker
State Registrations1 state
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.