Brendan W. 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.
Brendan Wall Casey was a registered financial professional .
Brendan is a previously registered financial professional and started their career in finance in 1997. Brendan had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 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
February 14, 2006 - November 14, 2019
SVB ASSET MANAGEMENT
October 29, 2003 - June 24, 2019
SVB SECURITIES, A NON-BANK AFFILIATE OF SILICON VALLEY BANK
February 11, 2003 - October 24, 2003
COMERICA SECURITIES
May 4, 2001 - October 24, 2003
COMERICA SECURITIES
October 28, 1997 - July 31, 2001
IMPERIAL SECURITIES CORPORATION
Primary Firm SEC Registration
SVB ASSET MANAGEMENT
CRD#: 124567 / SEC#: 801-61674
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
SVB ASSET MANAGEMENT
CRD#: 124567 / SEC#: 801-61674
Contact information
SEC notice filing (20 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 523 |
| AUM (Assets Under Management) | $ 32,960,320,956 |
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.
