Albert J. Cass
Professional summary
Albert John Cass lll, who also goes by A J Cass, Albert John Cass, is a registered financial professional 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 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Albert John Cass lll's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 15, 2019 - Present
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
Office #1: 605 3rd Ave, New York, NY 10158May 15, 2017 - May 6, 2019
SUSQUEHANNA FINANCIAL GROUP, LLLP
June 23, 2008 - June 2, 2017
GOLDMAN SACHS & CO. LLC
November 6, 1991 - June 10, 2008
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/31/2020)
(1/4/2023)
(5/15/2019)
(8/18/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/20/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 3/23/1998
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
BROADRIDGE BUSINESS PROCESS OUTSOURCING, LLC
CRD#: 114212 / SEC#: , 8-53412
Contact information
FINRA licenses (6 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 |
Red Flags
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