Barry Cassese
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.
Barry Cassese, who also goes by Barry Francis Cassese, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 1991. Barry had worked at 8 firms and has passed the Series 65, Series 63, Series 55, Series 7 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
September 15, 2021 - December 31, 2021
INVESTOR PROTECTION & MANAGEMENT SERVICES, LLC
December 20, 2011 - August 8, 2013
K.C. WARD FINANCIAL
August 3, 1998 - January 19, 2012
MORGAN WILSHIRE SECURITIES, INC.
December 5, 1996 - August 5, 1998
WALSH MANNING SECURITIES, LLC
December 19, 1995 - November 21, 1996
MORGAN, TAYLOR & ASSOCIATES, INC.
September 21, 1995 - December 4, 1995
TUSCANY EQUITY MANAGEMENT CORPORATI0N
July 2, 1991 - September 27, 1995
FIRST ASSET MANAGEMENT, INC.
April 11, 1991 - July 29, 1991
STRATTON OAKMONT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 55
Date: 11/21/2001
Limited Representative-Equity Trader ExamCurrent Firm
INVESTOR PROTECTION & MANAGEMENT SERVICES, LLC
CRD#: 181520 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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