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CS

Casey C. Seitz

HEIM, YOUNG & ASSOCIATES
Springfield, MO 65804-7211
Some features on this profile are disabled
CRD#: 4014278
CS

Professional summary

Casey Christopher Seitz is a registered financial professional currently at HEIM, YOUNG & ASSOCIATES, INC. located in Springfield, Missouri.

Casey is registered as a RR (Registered Representative) and started their career in finance in 2003. Casey has worked at 10 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Casey Christopher Seitz's CRS (Customer Relationship Summary).
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

November 11, 2014 - Present

HEIM, YOUNG & ASSOCIATES, INC.

Office #1: 1256 E. Kingsley St, Springfield, MO 65804-7211
BD
CRD#: 38993
Springfield, MO
Past

October 21, 2016 - September 27, 2022

HYA ADVISORS, INC

RIA
CRD#: 106691
SPRINGFIELD, MO
Past

July 23, 2014 - November 6, 2014

MONTICELLO INVESTMENT SERVICES, INC.

RIA
CRD#: 140851
NEOSHO, MO
Past

June 30, 2014 - November 6, 2014

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
JOPLIN, MO
Past

February 20, 2014 - April 9, 2014

COMMONWEALTH FINANCIAL NETWORK

RIA
CRD#: 8032
SPRINGFIELD, MO
Past

February 20, 2014 - April 9, 2014

COMMONWEALTH FINANCIAL NETWORK

BD
CRD#: 8032
SPRINGFIELD, MO
Past

May 22, 2013 - February 6, 2014

AXOS CLEARING LLC

BD
CRD#: 117176
OMAHA, NE
Past

May 6, 2008 - July 18, 2012

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
LA VISTA, NE
Past

June 20, 2006 - July 18, 2012

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

April 22, 2006 - July 5, 2006

TD AMERITRADE, INC.

BD
CRD#: 7870
BELLEVUE, NE
Past

December 18, 2003 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
BELLEVUE, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(3/4/2024)
RR
Indiana
(10/19/2023)
RR
Massachusetts
(12/15/2023)
RR
Missouri
(11/11/2014)
RR
Nebraska
(3/10/2025)
RR
Nevada
(9/7/2023)
RR
South Dakota
(1/11/2024)
RR
Texas
(2/6/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/23/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/5/2004
Uniform Securities Agent State Law Examination
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 7
Date: 12/17/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/11/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

HY
HEIM, YOUNG & ASSOCIATES, INC.
HEIM & YOUNG SECURITIES, INC. | MABS INSURANCE SOLUTIONS | MA BROKERAGE SOLUTIONS | HEIM, YOUNG & ASSOCIATES, INC.

CRD#: 38993 / SEC#: , 8-48500

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

Main Address
1256 E. Kingsley St, Springfield, MO 65804-7211
Mailing Address
1256 E. Kingsley St, Springfield, MO 65804-7211
Phone number
(417) 882-7283
Established
Missouri since 07/07/1995
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (49 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MERCER ADVISORS, INC.OWNER
BRAMER, BENJAMIN EDWARDDIRECTOR3222029
CATALDO, CHRISTINE ADELECHIEF INFORMATION OFFICER3042889
DREPAUL, ROSHNI ARUNAFINOP / PFO6487453
ENCINO, MATHEW RYANGENERAL COUNCEL, SECRETARY7530163
ERKER, TORIAN BILLSCCO6309105
LEE, TRINITY YVONNEPRESIDENT & EXECUTIVE DIRECTOR /CFO/POO5472899

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

HEIM, YOUNG & ASSOCIATES, INC.

CRD#: 38993Springfield, MO 65804-7211

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