Kent W. Casey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kent William Casey, who also goes by Kent W Casey, Kent Casey, was a registered financial professional .
Kent is a previously registered financial professional and started their career in finance in 1983. Kent had worked at 12 firms and has passed the Series 63, Series 79TO, SIE, Series 15, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2017 - December 31, 2023
AGES FINANCIAL SERVICES, LTD.
November 4, 2003 - April 24, 2017
SOURCE CAPITAL GROUP, INC.
October 28, 2002 - October 31, 2003
SCOTTSDALE CAPITAL ADVISORS CORP
January 14, 1999 - November 11, 2002
GAINEY FINANCIAL SERVICES, INC.
July 9, 1997 - November 11, 1998
CAPITAL WEST INVESTMENT GROUP, INC.
August 12, 1994 - June 24, 1997
MILLER JOHNSON STEICHEN KINNARD, INC.
February 9, 1994 - May 16, 1994
TAMARON INVESTMENTS, INC.
November 10, 1993 - January 20, 1994
WALFORD & COMPANY, INC.
November 13, 1989 - October 30, 1993
DICKINSON & CO.
February 6, 1985 - December 4, 1989
LEHMAN BROTHERS INC.
August 27, 1984 - January 30, 1985
MF GLOBAL INC.
May 25, 1983 - July 2, 1984
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 15
Date: 1/24/1984
Foreign Currency Options ExaminationSeries 5
Date: 5/27/1983
Interest Rate Options ExaminationCurrent Firm
AGES FINANCIAL SERVICES, LTD.
CRD#: 15427 / SEC#: , 8-32155
Contact information
Documents
Disclosures
| Regulatory Event | 4 |
| Arbitration | 4 |
Red Flags
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