Elissa Casale
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.
Elissa Casale was a registered financial professional .
Elissa is a previously registered financial professional and started their career in finance in 1989. Elissa had worked at 12 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2003 - February 4, 2004
NATIONS FINANCIAL GROUP, INC.
July 30, 2003 - December 18, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
February 24, 2000 - August 8, 2001
GLENN MICHAEL FINANCIAL, INC.
November 5, 1999 - February 16, 2000
NEW TIMES SECURITIES SERVICES, INC.
December 22, 1997 - October 18, 1999
THE CAMELOT GROUP, INC.
June 19, 1996 - December 16, 1997
MEYERS POLLOCK ROBBINS, INC.
June 8, 1995 - June 28, 1996
KENSINGTON WELLS INCORPORATED
June 23, 1994 - June 9, 1995
CORTLANDT CAPITAL CORPORATION
May 8, 1991 - June 29, 1994
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 12, 1990 - May 13, 1991
SOUTH RICHMOND SECURITIES, INC.
November 30, 1989 - January 16, 1990
CITIGROUP GLOBAL MARKETS INC.
August 23, 1989 - November 1, 1989
THE STUART-JAMES COMPANY, INCORPORATED
Primary Firm SEC Registration
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
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
NATIONS FINANCIAL GROUP, INC.
CRD#: 44181 / SEC#: 801-57407, 8-50588
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 9,822 |
| AUM (Assets Under Management) | $ 3,867,522,560 |
Disclosures
| Arbitration | 1 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2025 | ||
| 09/26/2024 | ||
| 11/22/2023 | ||
| 12/28/2022 |
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.
