Cass C. Culp
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.
Cass Christian Culp, who also goes by Cass C Culp, was a registered financial professional .
Cass is a previously registered financial professional and started their career in finance in 1997. Cass had worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 19, 2019 - September 30, 2024
CIBC PRIVATE WEALTH ADVISORS, INC.
July 2, 2019 - September 30, 2024
CIBC WORLD MARKETS CORP.
January 21, 2016 - September 22, 2017
FISHER INVESTMENTS
May 31, 2012 - November 6, 2015
NORTHERN TRUST SECURITIES, INC.
March 17, 2010 - May 11, 2012
J.P. MORGAN SECURITIES LLC
March 17, 2010 - May 11, 2012
J.P. MORGAN SECURITIES LLC
October 8, 2009 - February 16, 2010
CHARLES SCHWAB & CO., INC.
October 8, 2009 - February 16, 2010
CHARLES SCHWAB & CO., INC.
June 12, 2009 - September 23, 2009
EQUITABLE ADVISORS, LLC
January 24, 2007 - March 20, 2009
MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.
December 9, 1998 - March 20, 2009
MESIROW FINANCIAL, INC.
September 2, 1998 - March 20, 2009
MESIROW FINANCIAL, INC.
August 20, 1997 - December 10, 1998
INVESTORS BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CIBC PRIVATE WEALTH ADVISORS, INC.
CRD#: 109644 / SEC#: 801-57986
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
CIBC PRIVATE WEALTH ADVISORS, INC.
CRD#: 109644 / SEC#: 801-57986
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 28,865 |
| AUM (Assets Under Management) | $ 61,112,966,756 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2025 | ||
| 04/30/2025 | ||
| 10/20/2023 | ||
| 04/26/2023 |
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.
