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RIA / WealthAdvisor14 years in industry

Anthony Caruso

Advisor at CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC

San Jose, CA

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Search this name across graphsid dfx:ria:2a0ce328-abf8-a9dd-889f-96d04e94e0e2

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Aug 15, 2012 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 10, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 10, 2012
First registration: Aug 15, 2012
Dual registered: no
Other names: ANTONINO CARUSO
IAPD individual key: 6058056

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC	State registered	Dec 26, 2025	n/a	yes	San Jose, CA	Current employment
WHITEHALL-PARKER SECURITIES, INC.	n/a	Jan 30, 2019	Mar 4, 2020	no	SAN RAFAEL, CA\|SAN RAFAEL, CA	Previous registration
TAYLOR ADVISORY GROUP	State registered	Jul 10, 2017	Dec 23, 2019	no	Fresno, CA	Previous registration
ONE SOURCE HEALTH & WEALTH MANAGEMENT	Former SEC adviser	Feb 22, 2017	Jul 10, 2017	no	Fresno, CA	Previous registration
SILICON PRIVATE WEALTH, LLC	Independent wealth	Sep 6, 2016	Dec 22, 2016	no	FREMONT, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Aug 15, 2012	Sep 6, 2016	no	SAN JOSE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WHITEHALL-PARKER SECURITIES, INC.	CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLC	Mar 4, 2020	Dec 26, 2025	2,123	Firm change after gap	Other
TAYLOR ADVISORY GROUP	WHITEHALL-PARKER SECURITIES, INC.	Dec 23, 2019	Jan 30, 2019	-327	Firm change after gap	Other
ONE SOURCE HEALTH & WEALTH MANAGEMENT	TAYLOR ADVISORY GROUP	Jul 10, 2017	Jul 10, 2017	0	Firm change	Other
SILICON PRIVATE WEALTH, LLC	ONE SOURCE HEALTH & WEALTH MANAGEMENT	Dec 22, 2016	Feb 22, 2017	62	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	SILICON PRIVATE WEALTH, LLC	Sep 6, 2016	Sep 6, 2016	0	Firm change	Wirehouse to RIA

Relationships

Registered with (6)

→ CARUSO FAMILY FINANCIAL ADVISORS (CFFA) LLCRegistered adviserregistration: current employment
Dec 26, 2025 to presentfactForm ADV
→ WHITEHALL-PARKER SECURITIES, INC.Registered adviserregistration: previous registration
Jan 30, 2019 to Mar 4, 2020factForm ADV
→ TAYLOR ADVISORY GROUPRegistered adviserregistration: previous registration
Jul 10, 2017 to Dec 23, 2019factForm ADV
→ ONE SOURCE HEALTH & WEALTH MANAGEMENTRegistered adviserregistration: previous registration
Feb 22, 2017 to Jul 10, 2017factForm ADV
→ SILICON PRIVATE WEALTH, LLCRegistered adviserregistration: previous registration
Sep 6, 2016 to Dec 22, 2016factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Aug 15, 2012 to Sep 6, 2016factForm ADV

Dated events

No dated event names this entity yet.