Cassi L. Choi
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.
Cassi Leslie Choi, who also goes by Cassi L Choi, Cassi Leslie Veitch, Catherine L Veitch, was a registered financial professional .
Cassi is a previously registered financial professional and started their career in finance in 2002. Cassi had worked at 4 firms and has passed the Series 63, Series 7, Series 4 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
July 11, 2013 - April 8, 2014
TD AMERITRADE, INC.
August 3, 2010 - March 7, 2013
TD AMERITRADE, INC.
April 4, 2003 - February 20, 2004
CITIGROUP GLOBAL MARKETS INC.
April 5, 2002 - April 16, 2003
UBS FINANCIAL SERVICES INC.
February 5, 2002 - March 5, 2002
LPL FINANCIAL LLC
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
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
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.
