Denis G. Casey
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.
Denis George Casey, who also goes by Dennis George Casey, was a registered financial professional .
Denis is a previously registered financial professional and started their career in finance in 1999. Denis had worked at 8 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 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
July 14, 2017 - November 11, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 10, 2017 - November 11, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 18, 2013 - June 23, 2017
THE HUNTINGTON INVESTMENT COMPANY
January 17, 2013 - June 23, 2017
THE HUNTINGTON INVESTMENT COMPANY
October 1, 2012 - January 7, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - January 7, 2013
J.P. MORGAN SECURITIES LLC
September 28, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
September 28, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
December 12, 2003 - September 27, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
July 1, 2002 - September 27, 2010
THRIVENT INVESTMENT MANAGEMENT INC.
October 8, 1999 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
June 28, 1999 - October 7, 1999
WOODBURY FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
