Jacob A. Casella
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.
Jacob Adam Casella, who also goes by Jacob Casella, was a registered financial professional .
Jacob is a previously registered financial professional and started their career in finance in 2000. Jacob had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 55, Series 7 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 10, 2015 - June 8, 2017
NATIONAL FINANCIAL SERVICES LLC
February 23, 2011 - April 27, 2015
FIDELITY BROKERAGE SERVICES LLC
July 20, 2010 - February 7, 2011
TD AMERITRADE, INC.
July 20, 2010 - February 7, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 14, 2010 - February 7, 2011
TD AMERITRADE, INC.
January 1, 2008 - July 12, 2010
FIDELITY BROKERAGE SERVICES LLC
November 9, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
February 4, 2004 - July 28, 2006
CAPIS
June 12, 2001 - January 20, 2004
HILLTOP SECURITIES INC.
January 19, 2001 - May 14, 2001
RUSHMORE SECURITIES CORPORATION
March 7, 2000 - February 27, 2001
NORTHSTAR SECURITIES, INC.
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: 2/1/2005
Limited Representative-Equity Trader ExamCurrent Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CREEDON, ADAM J | INTERIM CHIEF COMPLIANCE OFFICER | 5417517 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | PRESIDENT | 1862532 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
