Linda N. Cassano
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.
Linda Nina Cassano, who also goes by Linda N Cassano, Linda Nina Cassano, Linda Cassano, Linda Mcdonald Mrs., Linda N Spadaccini, Linda Nina Spadaccini, was a registered financial professional .
Linda is a previously registered financial professional and started their career in finance in 1986. Linda had worked at 8 firms and has passed the Series 63, Series 14 and Series 12 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 2006 - July 10, 2012
COMMONWEALTH AUSTRALIA SECURITIES LLC
October 26, 2005 - February 27, 2006
S3 SECURITIES LLC
October 1, 2001 - May 3, 2004
ABBEY NATIONAL SECURITIES INC.
January 14, 2000 - May 18, 2001
COMMERZBANK CAPITAL MARKETS CORP.
April 29, 1993 - September 1, 1999
JPMSI
December 8, 1992 - April 13, 1993
LEHMAN BROTHERS INC.
June 3, 1987 - January 3, 1991
CREDIT SUISSE SECURITIES (USA) LLC
February 5, 1986 - May 1, 1987
MORGAN STANLEY & CO. LLC
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 12
Date: 8/15/1978
NYSE Branch Manager ExaminationCurrent Firm
COMMONWEALTH AUSTRALIA SECURITIES LLC
CRD#: 136321 / SEC#: , 8-66998
Contact information
FINRA licenses (35 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMMONWEALTH BANK 0F AUSTRALIA | SOLE MEMBER | |
| FELDMAN, RICHARD MARK | PFO | 2273453 |
| POULTON, JAYSON ALAN | CFO & POO | 6738733 |
| VARALLI MCCLELLAND, ANN LOUISE | PRINCIPAL - FIXED INCOME | 1043191 |
| VARALLI MCCLELLAND, ANN LOUISE | CHIEF EXECUTIVE OFFICER | 1043191 |
| WALSH, PAUL ROBERT | CHIEF COMPLIANCE OFFICER | 3189041 |
| WINTERS, JENNIFER | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 2604316 |
Disclosures
| Regulatory Event | 2 |
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.
