Dawn M. Cassulo
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.
Dawn Marie Cassulo was a registered financial professional .
Dawn is a previously registered financial professional and started their career in finance in 1993. Dawn had worked at 3 firms and has passed the Series 27 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 6, 2000 - January 29, 2002
TRADEPORTAL SECURITIES, INC.
September 24, 1996 - June 13, 2000
ROTH CAPITAL PARTNERS, LLC
May 5, 1995 - June 25, 1996
ROTH CAPITAL PARTNERS, LLC
April 30, 1993 - October 3, 1994
TDI, INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
TRADEPORTAL SECURITIES, INC.
CRD#: 25001 / SEC#: , 8-41519
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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