Casey B. Congel
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.
Casey Brennan Congel, who also goes by Casey Brennan Congel Ms, Casey Brennan Mccann, was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 2000. Casey had worked at 4 firms and has passed the Series 63, Series 65 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
February 3, 2012 - December 18, 2012
PURSHE KAPLAN STERLING INVESTMENTS
June 1, 2009 - February 8, 2012
MORGAN STANLEY
March 12, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 28, 2000 - December 11, 2001
CITIGROUP GLOBAL MARKETS INC.
May 10, 2000 - October 31, 2000
PRUDENTIAL EQUITY GROUP, LLC
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
PURSHE KAPLAN STERLING INVESTMENTS
CRD#: 35747 / SEC#: , 8-46844
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 11 |
| Arbitration | 2 |
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.
