Paul F. Casey
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.
Paul F Casey, who also goes by Paul Fredrick Casey, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1992. Paul had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 9, Series 10, Series 4 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2017 - November 14, 2017
OPTIONSXPRESS, INC.
December 8, 2015 - March 22, 2026
CHARLES SCHWAB & CO., INC.
September 2, 2011 - December 31, 2013
OPTIONSXPRESS, INC.
February 3, 1993 - March 22, 2026
CHARLES SCHWAB & CO., INC.
August 21, 1992 - September 14, 1992
F.N. WOLF & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 6/30/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OPTIONSXPRESS, INC.
CRD#: 103849 / SEC#: , 8-52354
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 30 |
| Arbitration | 3 |
| Bond | 1 |
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.
