Kennelm M. Cassell
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.
Kennelm Marcian Cassell, who also goes by Kennelm Marcien Cassell, Kennelm Cassell, Kennelym Cassell, Kennelyn Cassell, was a registered financial professional .
Kennelm is a previously registered financial professional and started their career in finance in 1984. Kennelm had worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE 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
October 27, 2015 - December 31, 2021
WESTERN INTERNATIONAL SECURITIES, INC.
January 2, 1998 - October 30, 2015
BRILL SECURITIES, INC.
May 12, 1993 - December 19, 1997
CIBC WORLD MARKETS CORP.
January 28, 1992 - May 12, 1993
PRIME CHARTER LTD.
October 25, 1990 - January 30, 1992
LEHMAN BROTHERS INC.
December 7, 1984 - October 24, 1990
J.P. MORGAN SECURITIES LLC
January 6, 1984 - December 7, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
