Richard L. Cassidy
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.
Richard Louis Cassidy, who also goes by Rick Louis Cassidy, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2000. Richard had worked at 10 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 10, 2022 - January 24, 2023
CETERA INVESTMENT SERVICES LLC
August 8, 2022 - January 24, 2023
CETERA INVESTMENT ADVISERS LLC
November 26, 2019 - August 10, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
November 21, 2019 - August 10, 2022
HANCOCK WHITNEY INVESTMENT SERVICES INC.
July 22, 2016 - November 22, 2019
CETERA INVESTMENT ADVISERS LLC
June 28, 2016 - November 22, 2019
CETERA INVESTMENT SERVICES LLC
July 7, 2014 - April 27, 2016
TRUIST INVESTMENT SERVICES, INC.
July 3, 2014 - April 27, 2016
TRUIST INVESTMENT SERVICES, INC.
August 21, 2013 - June 19, 2014
MORGAN STANLEY
April 14, 2011 - June 19, 2014
MORGAN STANLEY
July 30, 2008 - March 25, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 1, 2007 - October 23, 2007
MORGAN STANLEY & CO. LLC
August 3, 2005 - March 10, 2006
UVEST FINANCIAL SERVICES GROUP, INC.
March 27, 2003 - October 6, 2003
WELLS FARGO CLEARING SERVICES, LLC
August 9, 2001 - October 24, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2000 - June 20, 2001
MORGAN STANLEY DW 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
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
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.
