Brett D. Casebolt
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.
Brett Douglas Casebolt was a registered financial professional .
Brett is a previously registered financial professional and started their career in finance in 1995. Brett had worked at 6 firms and has passed the Series 63, Series 7, Series 62 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2008 - May 19, 2014
THE M & A GROUP LLC
May 19, 2004 - December 31, 2006
MILLER JOHNSON STEICHEN KINNARD, INC.
July 30, 1999 - February 10, 2000
MORGAN STANLEY & CO. LLC
April 6, 1998 - October 28, 1999
RBC CAPITAL MARKETS, LLC
November 12, 1996 - April 6, 1998
WESSELS, ARNOLD & HENDERSON, L.L.C.
August 24, 1995 - October 10, 1996
KFS BD, 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: 5/18/2004
Corporate Securities Limited Representative ExaminationCurrent Firm
THE M & A GROUP LLC
CRD#: 144909 / SEC#: , 8-67684
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SORENSEN, IVAR W. | EXECUTIVE REP/CEO/CCO/AMLCO/FINOP | 5679179 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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