Stephen A. Casey

SIGNET FINANCIAL MANAGEMENT

ESTERO, FL

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CRD#: 1731721

Professional summary

Stephen Andrew Casey is a registered financial advisor currently at SIGNET FINANCIAL MANAGEMENT, LLC located in Estero, Florida.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1989. Stephen has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Stephen Andrew Casey'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

October 23, 2007 - Present

SIGNET FINANCIAL MANAGEMENT, LLC

RIA

CRD#: 105310

ESTERO, FL

Past

February 3, 2003 - October 12, 2005

LOGGERHEAD FINANCIAL, LLC

RIA

CRD#: 130904

DUCK KEY, FL

Past

November 22, 1995 - February 1, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

April 11, 1992 - November 27, 1995

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

May 23, 1989 - April 21, 1992

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

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".

SIGNET FINANCIAL MANAGEMENT, LLC

JOSHUA LAUREN & CO INC | SIGNET FINANCIAL MANAGEMENT, LLC | SIGNET FINANCIAL MANAGEMENT OF SWFL, LLC | KRASNEY FINANCIAL, LLC

CRD#: 105310 / SEC#: 801-31294

RIA

Registered Investment Advisory firm - (1/15/1988 Approved)

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

Florida
(10/23/2007)

IAR

Texas
(10/15/2012)

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: 10/28/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/30/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/1989

General Securities Representative Examination

Current Firm

SIGNET FINANCIAL MANAGEMENT, LLC

JOSHUA LAUREN & CO INC | SIGNET FINANCIAL MANAGEMENT, LLC | SIGNET FINANCIAL MANAGEMENT OF SWFL, LLC | KRASNEY FINANCIAL, LLC

CRD#: 105310 / SEC#: 801-31294

RIA

Registered Investment Advisory firm - (1/15/1988 Approved)

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Contact information

Main Address

400 Interpace Parkway, Building C 2nd Floor, Parsippany, NJ 07054

Mailing Address

Phone number

(973) 543-6660

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIGNET DISCLOSURE BROCHURE AND PRIVACY POLICY (3/19/2025)

Regulatory assets under management

Total Number of Accounts	1,907
AUM (Assets Under Management)	$ 1,058,245,741

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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Stephen A. Casey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Andrew Casey's CRS (Customer Relationship Summary).

Certified licenses

Experience

LOGGERHEAD FINANCIAL, LLC

MORGAN STANLEY DW INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

Primary Firm SEC Registration

SIGNET FINANCIAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2004

Series 63

Date: 5/30/1989

Series 7

Date: 5/20/1989

Current Firm

SIGNET FINANCIAL MANAGEMENT, LLC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SIGNET FINANCIAL MANAGEMENT, LLC

TRUST BUT VERIFY

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