Brian P. Cassels
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.
Brian Paul Cassels was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2000. Brian had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 31, Series 7, Series 6 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
February 16, 2021 - July 28, 2021
SUTTER SECURITIES INCORPORATED
January 24, 2011 - March 4, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 24, 2011 - March 4, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 1, 2009 - January 27, 2011
MORGAN STANLEY
June 1, 2009 - January 27, 2011
MORGAN STANLEY
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
August 30, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
August 30, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
May 21, 2002 - August 24, 2004
PRUCO SECURITIES, LLC.
October 26, 2001 - August 24, 2004
PRUCO SECURITIES, LLC.
August 16, 2000 - August 14, 2001
WADDELL & REED
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
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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