Rande T. Casaday
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.
Rande Trent Casaday was a registered financial professional .
Rande is a previously registered financial professional and started their career in finance in 1986. Rande had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2024 - January 6, 2026
CONFLUENCE FINANCIAL PARTNERS
February 21, 2012 - April 4, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
February 21, 2012 - April 4, 2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED
May 19, 2011 - February 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - February 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
February 2, 1993 - January 3, 2008
A. G. EDWARDS & SONS, INC.
November 3, 1987 - February 10, 1993
LEGG MASON WOOD WALKER, INCORPORATED
February 19, 1986 - November 4, 1987
LEGG MASON MASTEN INC.
Primary Firm SEC Registration
CONFLUENCE FINANCIAL PARTNERS
CRD#: 311980 / SEC#: 801-120711
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 8
Date: 10/6/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CONFLUENCE FINANCIAL PARTNERS
CRD#: 311980 / SEC#: 801-120711
Contact information
SEC notice filing (36 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 12,924 |
| AUM (Assets Under Management) | $ 5,454,175,362 |
Red Flags
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