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RIA / WealthAdvisordual registered (broker-dealer)26 years in industry

STEFANO PAUL CACCIOLA

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3b1d1349-5efa-b0c7-a944-4cf1105ac93c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Jan 2, 2002 to Sep 15, 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: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 21, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Mar 21, 2000
First registration: Jan 2, 2002
Dual registered: yes, broker-dealer
Other names: STEVE PAUL CACCIOLA
IAPD individual key: 4070814

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
LPL FINANCIAL LLC	Bd affiliated wealth	Aug 17, 2022	n/a	yes	WATERBURY, CT\|WETHERSFIELD, CT\|MERIDEN, CT\|NAUGATUCK, CT\|FARMINGTON, CT\|TORRINGTON, CT\|SOUTHINGTON, CT\|MIDDLETOWN, CT\|CROMWELL, CT\|SUFFIELD, CT\|FARMINGTON, CT\|BRISTOL, CT\|BURLINGTON, CT\|BRISTOL, CT\|AVON, CT\|AVON, CT	Current employment
PEOPLE'S UNITED ADVISORS, INC.	Former SEC adviser	May 21, 2018	Aug 17, 2022	no	Southington, CT	Previous registration
PEOPLE'S SECURITIES, INC.	Former SEC adviser	Dec 1, 2006	Mar 31, 2020	no	SOUTHINGTON, CT\|AVON, CT\|WATERBURY, CT\|WATERBURY, CT\|WATERBURY, CT\|WATERBURY, CT\|WATERBURY, VT\|NAUGATUCK, CT\|TORRINGTON, CT\|TORRINGTON, CT\|WATERTOWN, CT\|SOUTHINGTON, CT\|MERIDEN, CT\|MERIDEN, CT\|CHESHIRE, CT\|WETHERSFIELD, CT\|ROCKY HILL, CT\|GRANBY, CT\|SIMSBURY, CT\|Avon, CT\|BRIDGEPORT, CT	Previous registration
IFMG SECURITIES, INC.	n/a	Nov 5, 2002	Nov 27, 2006	no	NEW HAVEN, CT\|BRANFORD, CT\|NEWINGTON, CT\|NEW HAVEN, CT\|WEST HARTFORD, CT\|WEST HARTFORD, CT	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jan 2, 2002	Aug 27, 2002	no	HARTFORD, CT	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
PEOPLE'S UNITED ADVISORS, INC.	LPL FINANCIAL LLC	Aug 17, 2022	Aug 17, 2022	0	Bulk transfer	RIA to RIA
PEOPLE'S SECURITIES, INC.	PEOPLE'S UNITED ADVISORS, INC.	Mar 31, 2020	May 21, 2018	-680	Bulk transfer	Other
IFMG SECURITIES, INC.	PEOPLE'S SECURITIES, INC.	Nov 27, 2006	Dec 1, 2006	4	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	IFMG SECURITIES, INC.	Aug 27, 2002	Nov 5, 2002	70	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
Aug 17, 2022 to presentfactForm ADV
→ PEOPLE'S UNITED ADVISORS, INC.Registered adviserregistration: previous registration
May 21, 2018 to Aug 17, 2022factForm ADV
→ PEOPLE'S SECURITIES, INC.Registered adviserregistration: previous registration
Dec 1, 2006 to Mar 31, 2020factForm ADV
→ IFMG SECURITIES, INC.Registered adviserregistration: previous registration
Nov 5, 2002 to Nov 27, 2006factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jan 2, 2002 to Aug 27, 2002factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3b1d1349-5efa-b0c7-a944-4cf1105ac93c
First observed: Jan 2, 2002
Last observed: Sep 15, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

STEFANO PAUL CACCIOLA

Advisor at LPL FINANCIAL LLC

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3b1d1349-5efa-b0c7-a944-4cf1105ac93c

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:33 AM UTC and rebuilt at most every 15 minutes.