Joseph C. Cascarelli
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.
Joseph Carmen Cascarelli ESQ., who also goes by Joseph C. Cascarelli Esq., was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1998. Joseph had worked at 7 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 55, Series 7, Series 6, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2013 - April 27, 2017
HORNOR, TOWNSEND & KENT, LLC
May 9, 2013 - April 27, 2017
HORNOR, TOWNSEND & KENT, LLC
July 7, 2011 - March 26, 2013
NETWORK 1 FINANCIAL SECURITIES INC.
March 20, 2009 - May 15, 2009
NATIONWIDE SECURITIES, LLC
August 1, 2008 - May 15, 2009
NATIONWIDE SECURITIES, LLC
December 11, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
November 15, 2002 - January 19, 2005
1717 CAPITAL MANAGEMENT COMPANY
September 6, 2002 - January 19, 2005
1717 CAPITAL MANAGEMENT COMPANY
December 19, 2001 - August 9, 2002
CITCO MUTUAL FUND DISTRIBUTORS, INC.
September 21, 2000 - November 1, 2001
HAAS FINANCIAL PRODUCTS, INC.
November 4, 1998 - February 22, 1999
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
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
Series 55
Date: 12/13/2008
Limited Representative-Equity Trader ExamCurrent Firm
HORNOR, TOWNSEND & KENT, LLC
CRD#: 4031 / SEC#: 801-56151, 8-14715
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| 1847 FINANCIAL LLC | SHAREHOLDER | |
| GUNZENHAUSER, RADFORD MICHAEL | FINOP | 7253452 |
| HUCKERBY, KEITH GORDON | MANAGER | 2641591 |
| MASON, ANN-MARIE | CHIEF LEGAL OFFICER AND SECRETARY | 7145020 |
| MULLER, NIKI LEE | PRINCIPAL OPERATIONS OFFICER | 7364066 |
| NAGENGAST, HEATHER JILL | PRESIDENT, MANAGER | 5300554 |
| O'MALLEY, DAVID MICHAEL | CHAIRMAN AND MANAGER | 4468593 |
| ROBINSON, VICTORIA MARIE | CHIEF COMPLIANCE OFFICER, MANAGER | 4556827 |
| WYANT, JUSTIN | MANAGER | 8146157 |
Regulatory assets under management
| Total Number of Accounts | 31,522 |
| AUM (Assets Under Management) | $ 7,753,847,039 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 6 |
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.
