Candida Marie Casey
Professional Summary
Candida Marie Casey, who also goes by Candy Casey, Candi Casey, is a registered financial advisor currently at NORTHWEST ASSET MANAGEMENT located in Chicago, Illinois. Candida is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Candida has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Candy Casey, Candi Casey
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC
Contact Information
Main Address
2835 82nd Avenue Se Ste 100, Mercer Island, WA 98040Phone Number
(206) 838-3680# of Employees
62SEC notice filing (40 States and Territories)
Registered to provide investment advisory services in 40 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
9,090AUM (Assets Under Management)
$4,131,681,404Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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Primary Firm SEC Registration
NORTHWEST ASSET MANAGEMENT | RIA INNOVATIONS | NWAM, LLC DBA NORTHWEST ASSET MANAGEMENT | NWAM, LLC | NW ASSET, LLC | NORTHWEST ASSET MANAGEMENT, LLC
State Registrations and Notice Filings
(12/10/2019)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary) - RIA
Click below to view Candida Marie Casey's CRS (Customer Relationship Summary).
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