Edwin R. Cassell
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.
Edwin Ray Cassell, who also goes by Ed Cassell, Edwin R Cassell, was a registered financial professional .
Edwin is a previously registered financial professional and started their career in finance in 1997. Edwin had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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, 2013 - December 19, 2014
TRUSTMONT ADVISORY GROUP, INC.
January 10, 2013 - December 19, 2014
TRUSTMONT FINANCIAL GROUP, INC.
September 14, 2011 - August 31, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
September 12, 2011 - August 31, 2012
ALLSTATE FINANCIAL SERVICES, LLC
September 24, 2010 - September 9, 2011
TRUSTMONT ADVISORY GROUP, INC.
September 24, 2010 - September 9, 2011
TRUSTMONT FINANCIAL GROUP, INC.
October 11, 2006 - December 31, 2010
CASSELL & ASSOCIATES, INC.
May 5, 2006 - December 31, 2006
ON INVESTMENT MANAGEMENT CO
May 5, 2006 - September 16, 2010
THE O.N. EQUITY SALES COMPANY
November 5, 2002 - May 5, 2006
TRUSTMONT ADVISORY GROUP, INC.
April 26, 2002 - May 5, 2006
TRUSTMONT FINANCIAL GROUP, INC.
February 5, 1997 - January 1, 2002
ROBERT W. BAIRD & CO. INCORPORATED
February 5, 1997 - March 14, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
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
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
Contact information
SEC notice filing (27 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,387 |
| AUM (Assets Under Management) | $ 1,126,006,619 |
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.
