James R. Dean
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.
James Robert Dean, who also goes by Jim Dean, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1989. James had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 13, 2014 - December 31, 2018
DEAN, CASEY FINANCIAL MANAGEMENT, LLC
February 29, 2012 - October 13, 2014
QUESTAR ASSET MANAGEMENT, INC.
February 29, 2012 - October 13, 2014
QUESTAR CAPITAL CORPORATION
December 11, 2006 - March 1, 2012
NATIONAL PLANNING CORPORATION
December 6, 2006 - March 1, 2012
NATIONAL PLANNING CORPORATION
September 24, 2004 - December 5, 2006
WESTMINSTER FINANCIAL ADVISORY CORP
August 14, 2002 - December 5, 2006
WESTMINSTER FINANCIAL SECURITIES, INC.
January 15, 1998 - August 20, 2002
PRUDENTIAL EQUITY GROUP, LLC
September 15, 1997 - August 20, 2002
PRUDENTIAL EQUITY GROUP, LLC
February 10, 1989 - September 5, 1989
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
DEAN, CASEY FINANCIAL MANAGEMENT, LLC
CRD#: 172323 / SEC#:
Contact information
Red Flags
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