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JC

Joseph C. Casey

Some features on this profile are disabled
CRD#: 1726342
JC

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.

Joseph Carroll Casey was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1987. Joseph had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 31, 2025 - January 30, 2026

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
CAMBRIDGE, MA
Past

July 13, 2018 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
BOSTON, MA
Past

July 13, 2012 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
HINGHAM, MA
Past

March 7, 2012 - January 30, 2026

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
WESTWOOD, MA
Past

October 6, 2010 - February 28, 2012

COMERICA SECURITIES

RIA
CRD#: 17079
WALNUT CREEK, CA
Past

October 6, 2010 - February 28, 2012

COMERICA SECURITIES

BD
CRD#: 17079
WALNUT CREEK, CA
Past

December 13, 2007 - January 5, 2010

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
SAN FRANCISCO, CA
Past

December 13, 2007 - January 5, 2010

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
SAN FRANCISCO, CA
Past

February 8, 2005 - December 6, 2007

AMERICAN INVESTORS COMPANY

RIA
CRD#: 38
WALNUT CREEK, CA
Past

January 4, 2005 - December 6, 2007

AMERICAN INVESTORS COMPANY

BD
CRD#: 38
WALNUT CREEK, CA
Past

January 30, 2003 - January 3, 2005

CITICORP INVESTMENT SERVICES

RIA
CRD#: 23988
FREMONT, CA
Past

January 30, 2003 - January 3, 2005

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

October 10, 2002 - December 20, 2002

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
DANVILLE, CA
Past

July 10, 2002 - December 20, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

December 9, 1999 - March 5, 2002

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

November 14, 1997 - May 8, 1998

GUARANTY BROKERAGE SERVICES, INC.

BD
CRD#: 23302
ST. CLOUD, MN
Past

October 13, 1994 - December 31, 1995

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

July 8, 1993 - November 7, 1997

FIS SECURITIES, INC.

BD
CRD#: 30533
BOSTON, MA
Past

February 12, 1992 - July 29, 1993

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA
Past

October 29, 1990 - February 12, 1992

CITICORP FINANCIAL SERVICES,INC.

BD
CRD#: 14675
Past

September 10, 1990 - November 14, 1990

FINANCIAL HORIZONS SECURITIES CORPORATION

BD
CRD#: 20221
Past

August 20, 1987 - November 9, 1989

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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".
SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/9/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/17/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/15/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/3/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/20/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 7/29/2002
General Securities Sales Supervisor - Options Module Examination

Current Firm

SA
STRATEGIC ADVISERS LLC
CROSBY ADVISORS | STRATEGIC ADVISERS, INC. | STRATEGIC ADVISERS LLC | STRATEGIC ADVISERS INC. | SAME | PORTFOLIO PLANNER | PORTFOLIO ADVISORY SERVICES/PAS | PORTFOLIO ADVISORY SERVICES | FIDELITY PRIVATE PORTFOLIO SERVICES | FIDELITY PORTFOLIO SELECTOR | FIDELITY PORTFOLIO PLANNER | FIDELITY FUNDS MANAGERPROGRAM

CRD#: 104555 / SEC#: 801-13243

RIA
Registered Investment Advisory firm - (8/11/1977 Approved)
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Contact information

Main Address
155 Seaport Blvd, Boston, MA 02210-2698
Mailing Address
Phone number
(617) 563-7000
Established
Firm type
Fiscal year end
# of Employees
16,291

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FIDELITY GO (12/5/2025)
FIDELITY STRATEGIC DISCIPLINES (11/10/2025)
FIDELITY WEALTH SERVICES (9/10/2025)
STRATEGIC ADVISERS LLC (9/10/2025)
FIDELITY MANAGED FIDFOLIOS (3/31/2025)
FIDELITY WEALTH ADVISOR SOLUTIONS (3/31/2025)
FIDELITY PERSONALIZED PLANNING & ADVICE AT WORK (3/31/2025)

Regulatory assets under management

Total Number of Accounts2,486,631
AUM (Assets Under Management)$ 1,067,664,605,590

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/24/2025
Cover Page
Report

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.

Company Information

STRATEGIC ADVISERS LLC

CRD#: 104555

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Contact information

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