Arlene D. 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.
Arlene Denise Casey, who also goes by A Denise Baldwin, Arlene Denise Baldwin, was a registered financial professional .
Arlene is a previously registered financial professional and started their career in finance in 1988. Arlene had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2017 - December 21, 2017
SCOTTRADE INVESTMENT MANAGEMENT
July 14, 2010 - December 21, 2017
SCOTTRADE, INC.
October 29, 2007 - December 22, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
April 30, 2007 - December 22, 2008
STIFEL, NICOLAUS & COMPANY, INCORPORATED
December 19, 2003 - August 24, 2005
SAXONY SECURITIES, INC.
February 7, 2001 - December 31, 2001
STIFEL INDEPENDENT ADVISORS, LLC
April 20, 1988 - March 11, 1999
EDWARD JONES
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
Current Firm
SCOTTRADE INVESTMENT MANAGEMENT
CRD#: 169988 / SEC#: 801-79217
Contact information
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.
