Frank R. Casey
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.
Frank Robert Casey, who also goes by Frank R Casey, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1974. Frank had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 3, PC and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 12, 2019 - October 7, 2020
IASG ALTERNATIVES, LLC
October 13, 2016 - October 31, 2018
RACE ROCK CAPITAL LLC
April 16, 2008 - October 31, 2014
C.P. BAKER SECURITIES INCORPORATED
February 26, 2002 - August 28, 2006
PARKWAY CAPITAL CORPORATION
March 21, 2000 - November 7, 2001
RAMPART SECURITIES, INC.
December 19, 1995 - February 25, 1998
CITIGROUP GLOBAL MARKETS INC.
July 23, 1993 - December 11, 1995
BIRCHTREE FINANCIAL SERVICES LLC
August 18, 1992 - July 28, 1993
THE INVESTMENT CENTER, INC.
September 27, 1982 - June 17, 1992
PRUDENTIAL EQUITY GROUP, LLC
September 26, 1978 - October 13, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 16, 1974 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 8/22/1983
AMEX Put and Call ExamSeries 1
Date: 9/9/1974
Registered Representative ExaminationCurrent Firm
IASG ALTERNATIVES, LLC
CRD#: 175478 / SEC#: , 8-69601
Contact information
FINRA licenses (17 States and Territories)
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.
