Christopher D. 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.
Christopher Doss Casey, who also goes by Christopher D Casey, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1994. Christopher had worked at 8 firms and has passed the Series 63, SIE, Series 79, Series 7, Series 24, 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
September 23, 2019 - June 1, 2023
INDEPENDENT INVESTMENT BANKERS, CORP.
July 15, 2013 - September 26, 2017
WESTLAKE SECURITIES
January 30, 2012 - April 4, 2013
FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.
October 8, 2007 - October 13, 2009
PINEBRIDGE SECURITIES LLC
February 13, 2002 - March 29, 2004
DEUTSCHE BANK SECURITIES INC.
April 30, 2001 - December 7, 2001
ABN AMRO SECURITIES LLC
October 16, 2000 - April 30, 2001
ABN AMRO INCORPORATED
November 21, 1994 - September 29, 2000
LEHMAN BROTHERS INC.
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
INDEPENDENT INVESTMENT BANKERS, CORP.
CRD#: 154134 / SEC#: , 8-68609
Contact information
FINRA licenses (51 States and Territories)
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.
