Thomas A. Cassedy

CASSEDY FINANCIAL GROUP

TAMPA, FL 33606

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CRD#: 1052213

Professional summary

Thomas Anderson Cassedy is a registered financial advisor currently at CASSEDY FINANCIAL GROUP, INC. located in Tampa, Florida.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Thomas has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 51, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1.) Landlord; Rent Collection; Employee; Approximately 3 Hours per month not during Trading hours. 2.) Cassedy Family Holdings LLC; Partner; Real Estate (Rental Property/Passive Investment); Start Date 03/01/2022; 4 Hours per month after trading hours. 3.)St. John's Episcopal Church & St. John's Episcopal Day School; Serves on the board for the endowment.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anderson Cassedy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 27, 2000 - Present

CASSEDY FINANCIAL GROUP, INC.

Office #1: 113 South Boulevard, Tampa, FL 33606Office #2: 113 South Blvd Suite 200, Tampa, FL 33606

RIA

CRD#: 111446

TAMPA, FL

Past

October 6, 2020 - May 24, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

TAMPA, FL

Past

June 6, 2012 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA

CRD#: 137888

TAMPA, FL

Past

October 28, 2009 - July 2, 2012

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

TAMPA, FL

Past

September 29, 2000 - May 24, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

TAMPA, FL

Past

September 13, 1996 - October 25, 2000

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Past

June 6, 1989 - September 20, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 1, 1988 - June 17, 1989

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

Past

December 1, 1986 - February 4, 1988

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

June 28, 1982 - December 15, 1986

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CASSEDY FINANCIAL GROUP, INC.

CRD#: 111446 / SEC#: 801-121550

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

Florida

Registered Investment Advisory firm - (5/18/2022 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(10/27/2000)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/27/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/15/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 3/16/1990

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/19/1982

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 3/17/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/1/2000

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/1996

General Securities Principal Examination

Current Firm

CASSEDY FINANCIAL GROUP, INC.

CRD#: 111446 / SEC#: 801-121550

RIA

Registered Investment Advisory firm - (6/21/2021 Approved)

Florida

Registered Investment Advisory firm - (5/18/2022 Terminated)

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Contact information

Main Address

113 South Blvd Suite 200, Tampa, FL 33606

Mailing Address

Phone number

(813) 251-0004

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CASSEDY FINANCIAL GROUP, INC. FORM ADV PART 2A MARCH 28, 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	413
AUM (Assets Under Management)	$ 222,327,489

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

xxxxx@xxxx.xxx

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Thomas A. Cassedy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Anderson Cassedy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT ADVISERS LLC

FIRST ALLIED ADVISORY SERVICES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

D.E. FREY & COMPANY, INC.

UBS FINANCIAL SERVICES INC.

DREXEL BURNHAM LAMBERT INCORPORATED

L. F. ROTHSCHILD & CO. INCORPORATED

KIDDER, PEABODY & CO. INCORPORATED

Primary Firm SEC Registration

CASSEDY FINANCIAL GROUP, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/27/1995

Series 63

Date: 2/15/1983

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 3/16/1990

Series 7

Date: 6/19/1982

Series 51

Date: 3/17/2003

Series 4

Date: 2/1/2000

Series 24

Date: 12/30/1996

Current Firm

CASSEDY FINANCIAL GROUP, INC.

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASSEDY FINANCIAL GROUP, INC.

TRUST BUT VERIFY

Contact information

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