Timothy J. Casey

MISCHLER FINANCIAL GROUP

Boston, MA 02111

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CRD#: 2194447

Professional summary

Timothy J Casey, who also goes by Timothy Casey, is a registered financial professional currently at MISCHLER FINANCIAL GROUP, INC. located in Boston, Massachusetts.

Timothy is registered as a RR (Registered Representative) and started their career in finance in 1993. Timothy has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Timothy Casey

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy J Casey's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 9, 2015 - Present

MISCHLER FINANCIAL GROUP, INC.

Office #1: One Lincoln Street, Floor 30, Suite 124, Boston, MA 02111

CRD#: 37818

Boston, MA

Past

February 4, 2011 - November 11, 2015

CABRERA CAPITAL MARKETS, LLC

CRD#: 10081

BOSTON, MA

Past

December 15, 2008 - February 10, 2011

RANGE GLOBAL LLC

CRD#: 104393

BOSTON, MA

Past

August 7, 2003 - September 30, 2008

SOLEIL SECURITIES CORPORATION

CRD#: 124737

BOSTON, MA

Past

August 23, 2002 - June 5, 2003

MELLON FUNDS DISTRIBUTOR, L.P.

CRD#: 39414

BOSTON, MA

Past

November 7, 2000 - June 6, 2001

TRUIST SECURITIES, INC.

CRD#: 6271

ATLANTA, GA

Past

July 1, 1998 - October 31, 2000

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

April 28, 1993 - July 1, 1998

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/9/2015)

Connecticut
(11/9/2015)

Iowa
(1/15/2021)

Massachusetts
(11/9/2015)

Exams

State Security Law Exam

Series 63

Date: 11/25/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/17/2003

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 4/27/1993

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

DILTANA COMPANY, INC. | MISCHLER FINANCIAL GROUP, INC.

CRD#: 37818 / SEC#: , 8-48067

Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)

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Contact information

Main Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Mailing Address

19800 Macarthur Blvd. Suite 600, Irvine, CA 92612

Phone number

(949) 720-0640

Established

California since 11/22/1994

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CHAMBERLAIN, DEAN ARTHUR	CHIEF EXECUTIVE OFFICER / DIRECTOR/ CHAIRMAN	2262338
HOLMES, DOYLE LAVERN	PRESIDENT, CHIEF OPERATION OFFICER-FINOP, CHIEF COMPLIANCE OFFICER, DIRECTOR	1556260
GTS FINANCIAL LLC	OWNER

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Timothy J. Casey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Timothy J Casey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CABRERA CAPITAL MARKETS, LLC

RANGE GLOBAL LLC

SOLEIL SECURITIES CORPORATION

MELLON FUNDS DISTRIBUTOR, L.P.

TRUIST SECURITIES, INC.

COWEN AND COMPANY

FINANCIAL SQUARE PARTNERS

State Registrations and Notice Filings

Exams

Series 63

Date: 11/25/2000

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/17/2003

Series 7

Date: 4/27/1993

FINRA

Current Firm

MISCHLER FINANCIAL GROUP, INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MISCHLER FINANCIAL GROUP, INC.

TRUST BUT VERIFY

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