Jim Caboy

Chief Compliance Officer
Rialto Markets

Jim Caboy brings more than 20 years of experience in the financial services industry. Jim has supported Trading, Investment Banking, Research and Operations over the years, empowering firms to operate successfully within SEC/FINRA regulations. Previously at Liquidnet, Jim was integral in the development of in-house trading software, including market risk and regulatory reporting functionality, policies and procedures and other general broker dealer requirements. Jim received his B.S. in Political Science from the University of Delaware, and maintains Series 7, 24, 55, 63 registrations.

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