Julia M. Casals
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.
Julia Mary Casals was a registered financial professional .
Julia is a previously registered financial professional and started their career in finance in 1993. Julia had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 2017 - November 1, 2017
WOLF GROUP CAPITAL ADVISORS
August 26, 2014 - January 12, 2017
WELLS FARGO CLEARING SERVICES, LLC
July 21, 2014 - January 12, 2017
WELLS FARGO CLEARING SERVICES, LLC
November 30, 2000 - February 1, 2001
SANDERS MORRIS LLC
January 30, 1997 - February 12, 1997
INTERACTIVE BROKERS LLC
October 6, 1994 - July 12, 1995
NATIXIS SECURITIES NORTH AMERICA INC.
January 25, 1993 - October 19, 1993
NOMURA SECURITIES INTERNATIONAL, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
WOLF GROUP CAPITAL ADVISORS
CRD#: 111647 / SEC#: 801-61501
Contact information
Regulatory assets under management
| Total Number of Accounts | 875 |
| AUM (Assets Under Management) | $ 526,794,579 |
Red Flags
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