John C. Cassol
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.
John Conrad Cassol was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1993. John had worked at 9 firms and has passed the Series 63, SIE, Series 3, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 5, 2015 - August 31, 2017
G&L PARTNERS, INC.
October 12, 2011 - April 2, 2014
WEDBUSH SECURITIES INC.
July 16, 2009 - April 5, 2011
B. RILEY SECURITIES, INC.
February 17, 2009 - July 8, 2009
WJB CAPITAL GROUP, INC.
August 2, 2005 - January 21, 2009
SG AMERICAS SECURITIES, LLC
June 29, 1998 - February 18, 2005
UBS SECURITIES LLC
September 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
April 28, 1997 - September 2, 1997
SBC WARBURG, INC.
January 3, 1995 - March 27, 1997
SBC WARBURG, INC.
November 4, 1993 - January 3, 1995
O'CONNOR & ASSOCIATES
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 55
Date: 4/11/2000
Limited Representative-Equity Trader ExamCurrent Firm
G&L PARTNERS, INC.
CRD#: 129605 / SEC#: , 8-66236
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
Red Flags
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