Michael C. Casey
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.
Michael Chester Casey, who also goes by Mike Casey, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 5 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 3, 2021 - November 1, 2024
RAYMOND JAMES & ASSOCIATES, INC.
November 2, 2021 - November 1, 2024
RAYMOND JAMES & ASSOCIATES, INC.
February 26, 2018 - November 5, 2021
OPPENHEIMER & CO. INC.
February 21, 2018 - November 5, 2021
OPPENHEIMER & CO. INC.
May 6, 2015 - August 30, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 13, 2015 - August 30, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2010 - March 31, 2015
MORGAN STANLEY
April 26, 2010 - March 31, 2015
MORGAN STANLEY
October 27, 2009 - April 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 27, 2009 - April 12, 2010
WELLS FARGO CLEARING SERVICES, LLC
April 22, 2005 - November 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 10, 1987 - November 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
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
Current Firm
RAYMOND JAMES & ASSOCIATES, INC.
CRD#: 705 / SEC#: 801-10418, 8-10999
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | HOLDING COMPANY | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| BUNN, JAMES EDWARD | DIRECTOR | 3130320 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| DELEON, ALLYSSA NICOLE | PRINCIPAL FINANCIAL OFFICER / FINOP | 6902665 |
| ELWYN, TASHTEGO SPRING | PRESIDENT - CHIEF EXECUTIVE OFFICER DIRECTOR | 2319098 |
| MARTIN, PHILIP ROGER | RIA CHIEF COMPLIANCE OFFICER | 2613565 |
| RUST, KEITH G | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL / SECRETARY | 6306997 |
| SICKLING, JAMES PHILIP | DIRECTOR | 1240810 |
Regulatory assets under management
| Total Number of Accounts | 1,070,028 |
| AUM (Assets Under Management) | $ 433,814,330,581 |
Disclosures
| Regulatory Event | 181 |
| Arbitration | 72 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
