Brian R. Cassidy
Professional summary
Brian Robert Cassidy was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Brian is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Brian had worked at 2 firms, which includes EAST COAST CONSULTANTS INC., KIDDER PEABODY & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 1999 - April 16, 2000
EAST COAST CONSULTANTS, INC.
January 18, 1996 - March 20, 1998
EAST COAST CONSULTANTS, INC.
March 25, 1987 - August 30, 1988
KIDDER, PEABODY & CO. INCORPORATED
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
EAST COAST CONSULTANTS, INC.
CRD#: 38380 / SEC#: , 8-48205
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SOZIO, LOUIS, JOSEPH | DIRECTOR/PRESIDENT/CHIEF EXECUTIVE OFFICER | |
| ROMAN, DOUGLAS JAMES | EXECUTIVE OFFICER | 1549538 |
Red Flags
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