Richard A. Casella
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.
Richard Andrew Casella, who also goes by Richard A Casella, Rick Casella, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 14 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2020 - November 7, 2025
FNEX CAPITAL, LLC
February 1, 2019 - March 23, 2020
INDEPENDENT INVESTMENT BANKERS, CORP.
April 27, 2017 - July 25, 2018
STONEX FINANCIAL INC.
December 16, 2015 - April 5, 2017
BULLTICK, LLC
March 22, 2001 - January 7, 2015
PACIFIC CREST SECURITIES LLC
April 14, 1999 - March 15, 2001
RBC CAPITAL MARKETS, LLC
January 21, 1997 - April 8, 1999
UBS FINANCIAL SERVICES INC.
June 3, 1996 - December 9, 1996
SBC WARBURG, INC.
April 18, 1995 - June 3, 1996
S.G. WARBURG & CO. INC.
March 14, 1991 - March 7, 1995
H.C.WAINWRIGHT & CO., LLC
October 17, 1988 - March 16, 1991
ACCESS SECURITIES, LLC
September 14, 1987 - December 9, 1988
INTERVEST SECURITIES, INC.
May 30, 1986 - August 28, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 1985 - June 3, 1986
MOSELEY SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 5/8/2006
Limited Representative-Equity Trader ExamCurrent Firm
FNEX CAPITAL, LLC
CRD#: 166316 / SEC#: , 8-69199
Contact information
FINRA licenses (51 States and Territories)
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.
