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EC

Ernesto J. Casco

Some features on this profile are disabled
CRD#: 2826305
EC

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.

Ernesto J Casco was a registered financial professional .

Ernesto is a previously registered financial professional and started their career in finance in 2001. Ernesto had worked at 1 firm and has passed the Series 63 and Series 7 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 18, 2001 - October 28, 2002

NEW WORLD FINANCIAL, INC.

BD
CRD#: 47747
MARBELLA,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/21/2000
General Securities Representative Examination

Current Firm

NW
NEW WORLD FINANCIAL, INC.
COMMONWEALTH ENERGY INVESTMENTS, INC. | WORLD FINANCIAL GROUP, INC. | WORLD FINANCIAL CAPITAL MARKETS INC. | NEW WORLD FINANCIAL, INC. | FIRST ADVANTAGE CAPITAL GROUP, INC. | FIRST ADVANTAGE CAPITAL GROUP

CRD#: 47747 / SEC#: , 8-51915

BD
Terminated by SEC on 03/04/2006
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/16/1998
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
LITTAUER, MATTHEW NGUYENOWNER2027330
ARTZT, GARY STEVENPRESIDENT AND CHIEF COMPLIANCE DIRECTOR2009945
ARTZT, GARY STEVENPRESIDENT2009945
DAGRACA, JOHN DAVIDFINANCIAL & OPERATIONS PRINCIPAL3249375

Disclosures

Regulatory Event3
Arbitration1

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

NEW WORLD FINANCIAL, INC.

CRD#: 47747

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