Steven J. Casull

CASULL FINANCIAL ADVISORY

SOUTH JORDAN, UT 84095

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CRD#: 2865989

Professional summary

Steven James Casull, who also goes by Steve James Casull, Steven J Casull, Steven James Casull Mr, is a registered financial advisor currently at CASULL FINANCIAL ADVISORY, LLC located in South Jordan, Utah.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Steven has worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Steve James Casull | Steven J Casull | Steven James Casull Mr

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) - RIA

Click below to view Steven James Casull's CRS (Customer Relationship Summary).

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

Current

April 9, 2014 - Present

CASULL FINANCIAL ADVISORY, LLC

Office #1: 10421 South Jordan Gateway Suite 600, South Jordan, UT 84095

RIA

CRD#: 170053

SOUTH JORDAN, UT

Past

October 28, 2015 - October 29, 2015

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

LOUISVILLE, KY

Past

September 6, 2013 - December 6, 2013

NATIONWIDE SECURITIES, LLC

RIA

CRD#: 11173

DRAPER, UT

Past

August 6, 2013 - December 6, 2013

NATIONWIDE SECURITIES, LLC

CRD#: 11173

DRAPER, UT

Past

October 12, 2012 - May 20, 2013

ALLSTATE FINANCIAL ADVISORS, LLC

RIA

CRD#: 109524

MURRAY, UT

Past

October 11, 2012 - May 20, 2013

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

DRAPER, UT

Past

April 4, 2011 - August 14, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SALT LAKE CITY, UT

Past

January 3, 2011 - August 14, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SALT LAKE CITY, UT

Past

December 8, 2010 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SALT LAKE CITY, UT

Past

June 11, 2010 - July 29, 2010

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

Past

April 20, 2009 - October 6, 2009

WILSON-DAVIS & CO., INC.

CRD#: 3777

SALT LAKE CITY, UT

Past

November 2, 2004 - May 17, 2007

BRUCE A. LEFAVI SECURITIES, INC.

CRD#: 10684

SALT LAKE CITY, UT

Past

April 8, 2003 - October 24, 2003

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

August 22, 2001 - January 14, 2002

EAGLE GATE SECURITIES, INC.

CRD#: 46959

SALT LAKE CITY, UT

Past

June 6, 1997 - August 22, 2001

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Utah
(4/9/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/25/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/24/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/29/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/5/1997

General Securities Representative Examination

Current Firm

CASULL FINANCIAL ADVISORY, LLC

CRD#: 170053 / SEC#:

Utah

Registered Investment Advisory firm - (4/8/2014 Approved)

Wisconsin

Registered Investment Advisory firm - (12/31/2018 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

10421 South Jordan Gateway Suite 600, South Jordan, UT 84095

Mailing Address

Phone number

(801) 495-7070

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	38
AUM (Assets Under Management)	$ 5,865,453

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.

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Advisor Monitoring

Firm Stability Insights

Steven J. Casull

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven James Casull's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

NATIONWIDE SECURITIES, LLC

NATIONWIDE SECURITIES, LLC

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

E*TRADE SECURITIES LLC

WILSON-DAVIS & CO., INC.

BRUCE A. LEFAVI SECURITIES, INC.

BANC ONE SECURITIES CORPORATION

EAGLE GATE SECURITIES, INC.

PIPER SANDLER & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 2/25/2011

Series 63

Date: 6/24/1997

SIE

Date: 10/29/2015

Series 7

Date: 6/5/1997

Current Firm

CASULL FINANCIAL ADVISORY, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

CASULL FINANCIAL ADVISORY, LLC

TRUST BUT VERIFY

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