Richard C. Casey

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CRD#: 42669

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 Carlton Casey was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1971. Richard had worked at 11 firms and has passed the Series 000, Series 1 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 9, 1998 - November 7, 2000

MOORS & CABOT, INC.

CRD#: 594

BOSTON, MA

Past

January 15, 1992 - September 9, 1998

DAKIN SECURITIES CORPORATION

CRD#: 6142

SAN FRANCISCO, CA

Past

July 1, 1991 - January 13, 1992

HENRY F. SWIFT & CO.

CRD#: 3548

SAN FRANCISCO, CA

Past

October 15, 1985 - June 24, 1991

PACIFIC SECURITIES, INC.

CRD#: 6812

SAN FRANCISCO, CA

Past

March 1, 1983 - October 8, 1985

HAMBRECHT & QUIST LLC

CRD#: 940

Past

March 24, 1980 - December 6, 1982

PACIFIC SECURITIES, INC.

CRD#: 6812

Past

February 27, 1980 - October 19, 1983

MORGAN STANLEY & CO. LLC

CRD#: 8209

Past

August 31, 1977 - January 31, 1980

SHUMAN, AGNEW & CO., INC.

CRD#: 7468

Past

April 19, 1976 - August 16, 1977

SHUMAN, AGNEW & CO., INC.

CRD#: 3404

Past

January 23, 1974 - May 8, 1976

CROWELL, WEEDON & CO.

CRD#: 193

Past

May 25, 1971 - December 7, 1973

KUHN LOEB AND CO INTERNATIONAL

CRD#: 1000003

Past

May 25, 1971 - December 7, 1973

KUHN LOEB & CO. INCORPORATED

CRD#: 2485

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

Series 000

Date: 3/24/1971

General Securities Principal Examination

General Industry/Product Exam

Series 1

Date: 2/10/1958

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 4/22/1976

Registered Principal Examination

Current Firm

MOORS & CABOT, INC.

MOORS & CABOT FINANCIAL ADVISORS | MOORS & CABOT, INC. | MOORS & CABOT, INC

CRD#: 594 / SEC#: 801-48726, 8-23060

RIA

Registered Investment Advisory firm - SEC (3/30/1995 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

One Federal Street 19th Floor, Boston, MA 02110

Mailing Address

One Federal Street 19th Floor, Boston, MA 02110

Phone number

(617) 426-0500

Established

Massachusetts since 07/05/1978

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

121

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

MOORS & CABOT ADV (9/29/2025)

Direct owners and executive officers

Name	Position	CRD#
EIGHTEEN NINETY PARTNERS, LLC	SHAREHOLDER
BRAUN, MICHAEL CHARLES	EVP/COO/DIRECTOR	2005370
CUETARA, JOSEPH PHILIP	SVP FIXED INCOME/MUNICIPAL PRINCIPAL	58308
GARRETT, MARK DAVID	DIRECTOR/CO-CHAIRMAN/TRUSTEE	5563014
HILDRETH, MICHAEL CHRISTOPHER	EVP/CFO/FINOP/PRESIDENT/CEO/DIRECTOR	2386839
JOYCE, DANIEL MICHAEL	DIRECTOR	1060819
KELLIHER, KATHERINE ROSE	SVP & CHIEF COMPLIANCE OFFICER	4146307

Regulatory assets under management

Total Number of Accounts	5,074
AUM (Assets Under Management)	$ 3,437,764,388

Disclosures

Regulatory Event	30
Arbitration	3
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/23/2025	Cover Page	Report
12/04/2023	Cover Page	Report
01/12/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Richard C. Casey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

DAKIN SECURITIES CORPORATION

HENRY F. SWIFT & CO.

PACIFIC SECURITIES, INC.

HAMBRECHT & QUIST LLC

PACIFIC SECURITIES, INC.

MORGAN STANLEY & CO. LLC

SHUMAN, AGNEW & CO., INC.

SHUMAN, AGNEW & CO., INC.

CROWELL, WEEDON & CO.

KUHN LOEB AND CO INTERNATIONAL

KUHN LOEB & CO. INCORPORATED

Primary Firm SEC Registration

MOORS & CABOT, INC.

State Registrations and Notice Filings

Exams

Series 000

Date: 3/24/1971

Series 1

Date: 2/10/1958

Series 40

Date: 4/22/1976

Current Firm

MOORS & CABOT, INC.

Contact information

SEC notice filing (35 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MOORS & CABOT, INC.

TRUST BUT VERIFY

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