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GC

Guy R. Casgrain

CASGRAIN & COMPANY (USA) LIMITED
Montreal, H3B 4G7
Some features on this profile are disabled
CRD#: 2991102
GC

Professional summary

Guy Rodolphe Casgrain, who also goes by Guy Casgrain, is a registered financial professional currently at CASGRAIN & COMPANY (USA) LIMITED .

Guy is registered as a RR (Registered Representative) and started their career in finance in 1998. Guy has worked at 1 firm and has passed the Series 57TO, Series 99TO, SIE, Series 79, Series 55, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Guy Casgrain

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) - BD

Click below to view Guy Rodolphe Casgrain'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

October 28, 1998 - Present

CASGRAIN & COMPANY (USA) LIMITED

Office #1: 1200 Mcgill College Avenue 21st Floor, Montreal, H3B 4G7Office #2: 1200 Mcgill College Avenue 21st Floor, Montreal Quebec, H3B 4G7
BD
CRD#: 44474
Montreal,

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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 6/2/2014
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 55
Date: 2/7/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/26/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/9/1998
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

C&
CASGRAIN & COMPANY (USA) LIMITED
CASGRAIN & COMPANY (USA) LIMITED

CRD#: 44474 / SEC#: , 8-50713

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1200 Mcgill College Avenue 21st Floor, Montreal Quebec, H3B 4G7
Mailing Address
1200 Mcgill College Avenue 21st Floor, Montreal, Quebec, H3B 4G7
Phone number
(514) 871-8080
Established
Firm type
Other Types of Legal Formation
Fiscal year end
September
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CASGRAIN & COMPANY LIMITEDSHAREHOLDER
CASGRAIN, GUY RODOLPHEPRESIDENT, CCO2991102
CASGRAIN, ROGER GREGOIREEXECUTIVE VICE PRESIDENT2991117
CREVIER, STEPHANEFINOP, PFO4549250
ZANGA, ANDREFINOP, POO2991103

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

CASGRAIN & COMPANY (USA) LIMITED

CRD#: 44474Montreal, H3B 4G7

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