Stuart W. Kasin

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CRD#: 3105331

Professional summary

Stuart Williams Kasin was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Stuart is a previously registered financial advisor and started their career in finance in 1998. Prior to being barred, Stuart had worked at 6 firms, which includes WESTMINSTER FINANCIAL ADVISORY CORP, WESTMINSTER FINANCIAL SECURITIES INC., CAPITOL SECURITIES MANAGEMENT INC., BI INVESTMENTS LLC, RIGGS SECURITIES INC., MML INVESTORS SERVICES LLC.

Question & Answer

Are you a "fiduciary"?

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

September 5, 2008 - March 19, 2009

WESTMINSTER FINANCIAL ADVISORY CORP

RIA

CRD#: 110283

ASHBURN, VA

Past

September 5, 2008 - March 19, 2009

WESTMINSTER FINANCIAL SECURITIES, INC.

CRD#: 20677

BEAVERCREEK, OH

Past

July 18, 2006 - September 8, 2008

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

MIDDLEBURG, VA

Past

July 18, 2006 - September 8, 2008

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

MIDDLEBURG, VA

Past

October 9, 2003 - July 17, 2006

BI INVESTMENTS, LLC

RIA

CRD#: 125437

LEESBURG, VA

Past

October 9, 2003 - July 17, 2006

BI INVESTMENTS, LLC

CRD#: 125437

LEESBURG, VA

Past

July 14, 2003 - October 9, 2003

CAPITOL SECURITIES MANAGEMENT, INC.

RIA

CRD#: 14169

LEESBURG, VA

Past

September 18, 2002 - October 9, 2003

CAPITOL SECURITIES MANAGEMENT, INC.

CRD#: 14169

GLEN ALLEN, VA

Past

January 1, 1999 - February 15, 2002

RIGGS SECURITIES INC.

CRD#: 46202

WASHINGTON, DC

Past

September 29, 1998 - December 4, 1998

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WESTMINSTER FINANCIAL ADVISORY CORP

CRD#: 110283 / SEC#: 801-29690

RIA

Registered Investment Advisory firm - (6/15/1987 Approved)

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.

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 65

Date: 8/16/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/7/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/25/1998

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WESTMINSTER FINANCIAL ADVISORY CORP

CRD#: 110283 / SEC#: 801-29690

RIA

Registered Investment Advisory firm - (6/15/1987 Approved)

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Contact information

Main Address

50 Chestnut Street Suite A-400, Beavercreek, OH 45440

Mailing Address

Phone number

(937) 898-5010

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WESTMINSTER FINANCIAL ADVISORY CORP. ADV PART 2 2025 (3/28/2025)

Regulatory assets under management

Total Number of Accounts	3,255
AUM (Assets Under Management)	$ 1,224,901,646

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2024	Cover Page	Report
02/26/2024	Cover Page	Report
12/09/2022	Cover Page	Report

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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Firm Stability Insights

Stuart W. Kasin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WESTMINSTER FINANCIAL SECURITIES, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

BI INVESTMENTS, LLC

BI INVESTMENTS, LLC

CAPITOL SECURITIES MANAGEMENT, INC.

CAPITOL SECURITIES MANAGEMENT, INC.

RIGGS SECURITIES INC.

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

WESTMINSTER FINANCIAL ADVISORY CORP

State Registrations and Notice Filings

Exams

Series 65

Date: 8/16/2000

Series 63

Date: 9/18/1998

Series 7

Date: 4/7/2000

Series 6

Date: 9/25/1998

Current Firm

WESTMINSTER FINANCIAL ADVISORY CORP

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

WESTMINSTER FINANCIAL ADVISORY CORP

TRUST BUT VERIFY

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