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JC

James S. Cassel

CASSEL SALPETER & CO.
Miami, FL 33131
Some features on this profile are disabled
CRD#: 2728677
JC

Professional summary

James Scott Cassel is a registered financial professional currently at CASSEL SALPETER & CO., LLC located in Miami, Florida.

James is registered as a RR (Registered Representative) and started their career in finance in 1996. James has worked at 7 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Scott Cassel's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 17, 2010 - Present

CASSEL SALPETER & CO., LLC

Office #1: 801 Brickell Avenue Suite 1900, Miami, FL 33131Office #2: 801 Brickell Avenue Suite 1900, Miami, FL 33131
BD
CRD#: 153522
Miami, FL
Past

August 9, 2010 - October 1, 2010

1ST BRIDGEHOUSE SECURITIES, LLC

BD
CRD#: 44655
MIAMI, FL
Past

November 7, 2006 - January 11, 2010

LADENBURG THALMANN & CO. INC.

BD
CRD#: 505
MIAMI, FL
Past

March 11, 1999 - January 11, 2010

THE KLEIN GROUP, LLC

BD
CRD#: 46472
MIAMI, FL
Past

November 25, 1998 - March 1, 1999

CARDINAL CAPITAL MANAGEMENT, INC.

BD
CRD#: 24605
MIAMI, FL
Past

September 4, 1998 - October 27, 1998

BRONSON & CO., LLC

BD
CRD#: 45025
SIMI VALLEY, CA
Past

May 7, 1996 - October 27, 1998

BARBER & BRONSON INCORPORATED

BD
CRD#: 26582
MIAMI, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(1/22/2020)
RR
Florida
(9/23/2010)
RR
Massachusetts
(6/28/2022)
RR
New York
(10/18/2010)
RR
Texas
(4/26/2017)

Exams

State Security Law Exam
RR
Series 63
Date: 3/10/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/6/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/31/1997
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CASSEL SALPETER & CO., LLC
CASSEL SALPETER & CO., LLC | J. CASSEL & COMPANY, L.L.C.

CRD#: 153522 / SEC#: , 8-68547

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
801 Brickell Avenue Suite 1900, Miami, FL 33131
Mailing Address
801 Brickell Avenue Suite 1900, Miami, FL 33131
Phone number
(305) 438-7700
Established
Florida since 03/04/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TELLURIDE TOO, L.L.C.MEMBER
CASSEL, JAMES SCOTTCHAIRMAN2728677
SALPETER, LAURA RACHELLECCO5947370
SALPETER, SCOTT ERICPRESIDENT/CFO/FINOP2823675

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.

Company Information

CASSEL SALPETER & CO., LLC

CRD#: 153522Miami, FL 33131

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