Robert Cassella

CROSS STATE FINANCIAL GROUP LLC

ROBERTSDALE, AL

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CRD#: 1596984

Professional summary

Robert Cassella, who also goes by Rob Cassella, is a registered financial advisor currently at CROSS STATE FINANCIAL GROUP LLC located in Robertsdale, Alabama.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Robert has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Cassella

Other business activities

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.

1)START DATE 2007, I DEVOTE 4 HRS/MO AS INDEPENDENT CONTRACTOR/AGENT FOR INSURANCE. THIS ACTIVITY IS NOT INVESTMENT RELATED & MY DUTIES INCLUDE: OFFERING FIXED ANNUITIES, LIFE INSURANCE, LTC & RESEARCH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Cassella's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 30, 2016 - Present

CROSS STATE FINANCIAL GROUP LLC

RIA

CRD#: 282011

ROBERTSDALE, AL

Past

December 5, 2016 - December 31, 2018

CROWN CAPITAL SECURITIES, L.P.

CRD#: 6312

ORANGE, CA

Past

February 26, 2010 - December 6, 2016

FOOTHILL SECURITIES, INC.

RIA

CRD#: 1027

ROCHESTER HILLS, MI

Past

January 5, 2010 - December 6, 2016

FOOTHILL SECURITIES, INC.

CRD#: 1027

ROCHESTER HILLS, MI

Past

February 16, 2007 - January 8, 2010

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

ROCHESTER, MI

Past

March 16, 2001 - February 26, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

CLINTON TOWNSHIP, MI

Past

July 27, 1998 - March 23, 2001

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

May 20, 1996 - July 27, 1998

STANDARD BROKERAGE SERVICES, INC.

CRD#: 14387

Past

April 14, 1993 - May 2, 1996

MARINER FINANCIAL SERVICES, INC.

CRD#: 8292

LARGO, FL

Past

May 31, 1991 - August 13, 1991

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 29, 1990 - December 3, 1990

EMPIRE NATIONAL SECURITIES, INCORPORATED

CRD#: 7361

Past

May 11, 1989 - May 11, 1990

USA FINANCIAL GROUP, INC.

CRD#: 17819

Past

August 19, 1987 - April 12, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CROSS STATE FINANCIAL GROUP LLC

CRD#: 282011 / SEC#: 801-117843

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/22/2021 Terminated)

Colorado

Registered Investment Advisory firm - (11/22/2021 Terminated)

Florida

Registered Investment Advisory firm - (11/22/2021 Terminated)

Michigan

Registered Investment Advisory firm - (11/23/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2021 Terminated)

South Dakota

Registered Investment Advisory firm - (11/22/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/22/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Alabama
(3/27/2024)

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

State Security Law Exam

IAR

Series 65

Date: 2/16/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/21/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/9/1987

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Current Firm

CROSS STATE FINANCIAL GROUP LLC

CRD#: 282011 / SEC#: 801-117843

RIA

Registered Investment Advisory firm - (1/2/2020 Approved)

Arizona

Registered Investment Advisory firm - (11/22/2021 Terminated)

Colorado

Registered Investment Advisory firm - (11/22/2021 Terminated)

Florida

Registered Investment Advisory firm - (11/22/2021 Terminated)

Michigan

Registered Investment Advisory firm - (11/23/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (12/31/2021 Terminated)

South Dakota

Registered Investment Advisory firm - (11/22/2021 Terminated)

Texas

Registered Investment Advisory firm - (11/22/2021 Terminated)

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Contact information

Main Address

6721 Academy Rd. Ne Suite B, Albuquerque, NM 87109

Mailing Address

8424 S. Yukon St., Littleton, CO 80128

Phone number

(800) 621-6974

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - FIRM BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts	1,028
AUM (Assets Under Management)	$ 166,767,480

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.

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Firm Stability Insights

Robert Cassella

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Cassella's CRS (Customer Relationship Summary).

Certified licenses

Experience

CROWN CAPITAL SECURITIES, L.P.

FOOTHILL SECURITIES, INC.

FOOTHILL SECURITIES, INC.

NEXT FINANCIAL GROUP, INC.

CITIGROUP GLOBAL MARKETS INC.

LASALLE FINANCIAL SERVICES, INC.

STANDARD BROKERAGE SERVICES, INC.

MARINER FINANCIAL SERVICES, INC.

CIBC WORLD MARKETS CORP.

EMPIRE NATIONAL SECURITIES, INCORPORATED

USA FINANCIAL GROUP, INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CROSS STATE FINANCIAL GROUP LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/16/2010

Series 63

Date: 8/21/1987

SIE

Date: 10/1/2018

Series 3

Date: 9/9/1987

Series 7

Date: 8/15/1987

Current Firm

CROSS STATE FINANCIAL GROUP LLC

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CROSS STATE FINANCIAL GROUP LLC

TRUST BUT VERIFY

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