David I. Cassuto
Professional summary
David Isaac Cassuto was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, David had worked at 3 firms, which includes INSTITUTIONAL EQUITY CORPORATION, CONTINENTAL BROKER-DEALER CORP., PARAGON CAPITAL MARKETS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2000 - May 9, 2000
INSTITUTIONAL EQUITY CORPORATION
August 25, 1995 - January 12, 2000
CONTINENTAL BROKER-DEALER CORP.
May 1, 1995 - July 31, 1995
PARAGON CAPITAL MARKETS, INC.
November 28, 1994 - January 18, 1995
CONTINENTAL BROKER-DEALER CORP.
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
Current Firm
INSTITUTIONAL EQUITY CORPORATION
CRD#: 19628 / SEC#: , 8-37654
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTITUTIONAL EQUITY HOLDINGS, INC. | COMMON SHAREHOLDER | |
| SHUEY, ROBERT ALTON | MANAGING DIRECTOR OF CORPORATE FINANCE | 710362 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 5 |
Red Flags
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