John C. Cassels
Professional summary
John Collins Cassels, who also goes by John Cassels, is a registered financial professional currently at PAULSON INVESTMENT COMPANY LLC located in St. Petersburg, Florida.
John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 7 firms and has passed the Series 63, Series 65, Series 79TO, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Collins Cassels's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 5, 2022 - Present
PAULSON INVESTMENT COMPANY LLC
Office #1: 150 Second Ave. N. Suite 1550, St. Petersburg, FL 33701March 29, 2017 - March 2, 2018
PAULSON INVESTMENT COMPANY LLC
December 27, 2016 - March 3, 2017
PAULSON INVESTMENT COMPANY LLC
March 28, 2013 - June 23, 2016
NEWPORT COAST SECURITIES, INC.
November 28, 2011 - March 22, 2013
I-BANKERS SECURITIES, INC.
August 31, 2009 - November 22, 2011
RODMAN & RENSHAW, LLC
February 4, 2005 - September 11, 2009
SANDERS MORRIS LLC
June 14, 2002 - December 17, 2004
UBS FINANCIAL SERVICES INC.
July 11, 1997 - June 20, 2002
CITIGROUP GLOBAL MARKETS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/31/2022)
(9/29/2023)
(5/17/2022)
(5/18/2022)
(8/26/2022)
(4/26/2022)
(6/29/2022)
(9/27/2023)
(5/19/2022)
(10/30/2023)
(9/26/2023)
(5/3/2022)
(10/6/2023)
(4/26/2022)
(5/25/2022)
(4/5/2023)
(5/20/2022)
(9/19/2023)
(5/19/2022)
Exams
Series 79TO
Date: 5/10/2024
Investment Banking Registered Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
PAULSON INVESTMENT COMPANY LLC
CRD#: 5670 / SEC#: 801-107194, 8-26807
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PAULSON CAPITAL HOLDING COMPANY, LLC | OWNER | |
| CLARK, CHRISTOPHER STEVEN | CHAIRMAN, ELECTED MANAGER | 1952666 |
| PARIGIAN, THOMAS STEWART | ELECTED MANAGER | 1398840 |
| SETTEDUCATI, ROBERT JOSEPH | ELECTED MANAGER AND DIRECTOR OF BUSINESS DEVELOPMENT | 1352722 |
| DAVIS, TRENT DONALD | CHIEF EXECUTIVE OFFICER | 2137171 |
| RASMUSSEN, KATHLEEN HATLELI | CHIEF COMPLIANCE OFFICER | 2608755 |
| WINKS, MALCOLM ALEXANDER | PRESIDENT AND CFO/FINOP | 5153752 |
Disclosures
| Regulatory Event | 35 |
| Civil Event | 1 |
| Arbitration | 8 |
| Bond | 1 |
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.
