Gerald J. Casey
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.
Gerald Joseph Casey, who also goes by Gerald Casey, was a registered financial professional .
Gerald is a previously registered financial professional and started their career in finance in 1997. Gerald had worked at 13 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 11, 2024 - November 26, 2025
GTN AMERICAS FINANCIAL SERVICES
September 8, 2022 - September 21, 2023
EFG-HERMES USA, INC.
September 28, 2021 - July 5, 2022
ACADEMY SECURITIES, INC.
July 24, 2018 - July 13, 2021
MIZUHO SECURITIES USA LLC
January 20, 2016 - February 22, 2017
LIQUIDNET, INC.
February 19, 2013 - October 14, 2015
BARCLAYS CAPITAL INC.
November 3, 2008 - October 5, 2012
NOMURA SECURITIES INTERNATIONAL, INC.
September 22, 2008 - November 5, 2008
BARCLAYS CAPITAL INC.
March 31, 2003 - September 22, 2008
LEHMAN BROTHERS INC.
November 5, 2001 - March 14, 2003
COWEN AND COMPANY
May 1, 2001 - November 14, 2001
J.P. MORGAN SECURITIES INC.
February 20, 2001 - May 1, 2001
JPMSI
October 6, 1997 - March 28, 2001
ROBERT FLEMING INC.
January 20, 1997 - September 17, 1997
FORESTERS FINANCIAL SERVICES, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/8/2001
Limited Representative-Equity Trader ExamSeries 8
Date: 2/10/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GTN AMERICAS FINANCIAL SERVICES
CRD#: 315499 / SEC#: , 8-70748
Contact information
FINRA licenses (15 States and Territories)
Documents
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.
