Stephen J. Cass
Professional summary
Stephen John Cass is a registered financial professional currently at TRADEPRO SECURITIES, LLC. located in Lawrenceville, Georgia.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 11 firms and has passed the Series 63, Series 99TO, SIE, Series 55, Series 7, Series 14, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen John Cass's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 14, 2019 - Present
TRADEPRO SECURITIES, LLC.
Office #1: 340 Congress Parkway,, Lawrenceville, GA 30044April 11, 2008 - March 8, 2019
BENJAMIN & JEROLD BROKERAGE I, LLC
June 13, 2007 - July 20, 2007
RIVERSIDE SECURITIES, INC.
January 30, 2006 - June 16, 2008
PETRA TRADING GROUP LLC
February 6, 2003 - August 6, 2003
JANCO PARTNERS, INC.
March 9, 2002 - May 29, 2002
RBC CAPITAL MARKETS, LLC
April 3, 2000 - March 9, 2002
TUCKER ANTHONY INCORPORATED
August 6, 1998 - March 10, 2000
MELVIN SECURITIES, L.L.C.
November 8, 1994 - March 13, 1998
RODMAN & RENSHAW INC.
September 1, 1994 - October 19, 1994
PRINCIPAL FINANCIAL SECURITIES,INC.
March 18, 1993 - September 1, 1994
HAMILTON INVESTMENTS, 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
(2/25/2020)
(1/24/2020)
(1/15/2019)
(1/30/2020)
(4/2/2019)
(1/13/2020)
(12/26/2019)
(2/12/2020)
(1/14/2020)
(1/2/2020)
(1/3/2020)
(2/18/2020)
(1/22/2020)
(12/26/2019)
(1/26/2021)
(1/10/2020)
(6/18/2021)
(1/15/2020)
(2/14/2020)
(1/2/2020)
(3/12/2020)
(9/21/2020)
(5/4/2020)
(12/23/2019)
(12/26/2019)
(10/1/2019)
(1/24/2020)
(1/9/2020)
(1/3/2020)
(2/4/2020)
(12/19/2019)
(1/27/2020)
(1/22/2020)
(1/6/2020)
(2/20/2020)
(1/10/2020)
(1/21/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/16/1999
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
TRADEPRO SECURITIES, LLC.
CRD#: 103781 / SEC#: , 8-52282
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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