John J. Caso
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 James Caso JR, who also goes by John J Caso, John James Caso, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 4 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1998 - June 8, 1999
HORNBLOWER & WEEKS, INC.
January 20, 1998 - September 3, 1998
TASIN & COMPANY, INC.
September 2, 1997 - December 31, 1997
FIRST LIBERTY INVESTMENT GROUP, INC.
January 17, 1994 - June 26, 1997
MEYERS POLLOCK ROBBINS, 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 62
Date: 1/14/1994
Corporate Securities Limited Representative ExaminationCurrent Firm
HORNBLOWER & WEEKS, INC.
CRD#: 4683 / SEC#: , 8-16493
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 6 |
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.
