Joseph Cacia has been an investment adviser representative at Collar Capital Management since December 2009, and is not listed among the firm’s executive officers or direct owners.
Collar Capital Management, LLC is an Appleton, WI firm with $176M under management, 125 clients and 3 advisers across 3 offices, as of its July 2026 filing.
Joseph Cacia is Financial Advisor of Collar Capital Management, LLC. He started his career at Smith Barney in 2002 as an Advisor on a Consulting Group team for private clients. He moved to Morgan Stanley in 2005, where he partnered with Patrick Collar, and in December 2009 left Morgan Stanley to help found Collar Capital. His primary focus is on client service, financial planning, and business development.
Joseph Cacia’s longest registration is the current one, 16 years at Collar Capital Management since 2009. Before joining Collar Capital Management in 2009, Joseph Cacia was registered through Morgan Stanley Smith Barney LLC and Morgan Stanley & Co. Incorporated.
- Roshelen, Inc.Also current– present · 12 yearsSanta Clarita, CA · Adviser representative · Firm CRD 170904
- – present · 16 yearsSanta Clarita, CA · Adviser representative · Firm CRD 152325
- Morgan Stanley Smith Barney LLC– · under a yearBeverly Hills, CA · Adviser representative · Firm CRD 149777
- Morgan Stanley & Co. Incorporated– · 2 yearsBeverly Hills, CA · Adviser representative · Firm CRD 8209
- Morgan Stanley– · 1 yearPasadena, CA · Adviser representative · Firm CRD 7556
- Citigroup Global Markets Inc.– · 2 yearsPasadena, CA · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Joseph Cacia is registered as an investment adviser representative in 4 states, as a resident of Texas. The first approvals date from December 2009; the most recent is Texas, in August 2024.
- CaliforniaSince 11 December 2009
- LouisianaSince 18 July 2024
- TexasResidentSince 15 August 2024
- WisconsinSince 14 December 2009
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 September 2002 |
| Series 63 | Uniform Securities Agent State Law Examination | 4 September 2002 |
| Series 7 | General Securities Representative Examination | 22 August 2002 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Joseph Richard Cacia
- CRD
- 4562829
- Firm
- Collar Capital Management · CRD 152325
- Office
- Santa Clarita, CA
- Registration
- Investment adviser registration
- In the industry since
- September 2002
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- collarcapital.com
Where does Joseph Cacia work?
Joseph Cacia is an investment adviser representative registered through Collar Capital Management, LLC since December 2009, and is not listed among the firm’s executive officers or direct owners.
Is Joseph Cacia a financial advisor?
Yes. Joseph Cacia has a current investment-adviser registration in California, Louisiana, Texas and Wisconsin, through Collar Capital Management since December 2009.
How many years of experience does Joseph Cacia have?
Joseph Cacia has 24 years in the financial industry, since September 2002, across 6 adviser firms.
What exams has Joseph Cacia passed?
Joseph Cacia has passed 3 licensing exams: the Series 7, Series 63 and Series 65. The earliest, the Series 7, was passed in August 2002.
Where did Joseph Cacia work before Collar Capital Management?
Before Collar Capital Management, Joseph Cacia was registered through Morgan Stanley & Co. Incorporated, April 2007 to June 2009; Morgan Stanley, July 2005 to April 2007; Citigroup Global Markets Inc., September 2002 to August 2005.
Where is Joseph Cacia based?
Joseph Cacia’s registered office is in Santa Clarita, CA.
Is Joseph Cacia registered with FINRA?
No. Joseph Cacia has no current broker registration.
How can I verify Joseph Cacia’s record?
Search CRD 4562829 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Cacia’s full registration record.