Stephen J. Casamento
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.
Stephen Joseph Casamento was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1973. Stephen had worked at 2 firms and has passed the Series 63, Series 1, Series 4, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2000 - December 31, 2014
WATERS, PARKERSON & CO., INC.
June 12, 2000 - December 31, 2007
WATERS, PARKERSON & CO., INC.
April 5, 1982 - June 24, 1999
JMC SECURITIES, INC.
November 26, 1980 - June 8, 2000
JMC SECURITIES, INC.
November 15, 1973 - November 15, 1980
WATERS, PARKERSON & CO., INC.
Primary Firm SEC Registration
WATERS, PARKERSON & CO., INC.
CRD#: 3711 / SEC#: 801-8754, 8-17208
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 1
Date: 11/10/1973
Registered Representative ExaminationF04
Date: 11/7/1979
Financial Principal ExaminationSeries 00
Date: 12/13/1975
General Securities Principal ExaminationCurrent Firm
WATERS, PARKERSON & CO., INC.
CRD#: 3711 / SEC#: 801-8754, 8-17208
Contact information
SEC notice filing (14 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POINTER, DAVID TAYLOR | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1044827 |
| WHEALDON, MICHAEL BURTON | EXECUTIVE VICE-PRESIDENT, SECRETARY/TREASURER | 1277324 |
| CRUIKSHANK, WILLIAM EDWARD | COMPTROLLER | 1778322 |
| GRISWOLD, GEORGE II | CHAIRMAN | 230473 |
| BURLINGAME, JULIA WATERS | OPERATIONS MANAGER | 1819993 |
| CASAMENTO, STEPHEN JOSEPH | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 42472 |
Regulatory assets under management
| Total Number of Accounts | 1,898 |
| AUM (Assets Under Management) | $ 2,685,703,913 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/25/2024 | ||
| 07/25/2023 | ||
| 10/26/2022 |
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.
