Albert John Cass Lll
Professional Summary
Albert John Cass lll, who also goes by A J Cass, Albert John Cass, is a registered financial advisor currently at BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC located in New York, New York. Albert is registered as a RR (Registered Representative) and started their career in finance in 1991. Albert has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 9, Series 10, Series 4, Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
A J Cass, Albert John Cass
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC | MSCS FINANCIAL SERVICES, LLC | MSCS FINANCIAL SERVICES | LTX
Contact Information
Main Address
300 Executive Drive Suite 1, Edgewood, NY 11717-8382Mailing Address
300 Executive Drive Suite 1, Edgewood, NY 11717-8382Phone Number
(201) 793-9304Established
Delaware since 04/06/2001Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (6 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROADRIDGE BPO HOLDING LLC | SOLE MEMBER | — |
| ALEXANDER, MICHAEL JAY | CEO/PRESIDENT/ MANAGER ON THE BOARD OF MANAGERS | 1428753 |
| BEUTELSCHIES, WILL SAMUEL | DIRECTOR OF COMPLIANCE: AMLCO | 2779204 |
| CASS, ALBERT JOHN LLL | VICE PRESIDENT | 2182652 |
| DEONIER, CHRISTIAN WILLIAM | SENIOR VICE PRESIDENT | 2829240 |
| GIACALONE, THOMAS A. | PRINCIPAL OPERATING OFFICER / MANAGER ON THE BOARD OF MANAGERS | 2873774 |
| JUHL, SVETLANA | MANAGER ON THE BOARD OF MANAGERS | 6154375 |
| PERRY, CHRISTOPHER JOHN | MANAGER ON THE BOARD OF MANAGERS | 1841603 |
| PORT, JAMES EDWARD | CHIEF COMPLIANCE OFFICER | 2366427 |
| SAX, CHARLES EDMOND | CHIEF FINANCIAL OFFICER / VP / TREASURER / FINOP | 1821188 |
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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.
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State Registrations and Notice Filings
(8/31/2020)
(1/4/2023)
(5/15/2019)
(8/18/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Mar 2000Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Mar 1998SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Albert John Cass lll's CRS (Customer Relationship Summary).
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