James J. Cassidy
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.
James John Cassidy was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1973. James had worked at 16 firms and has passed the Series 63, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 1991 - May 28, 1991
NTB FINANCIAL CORPORATION
October 20, 1988 - March 4, 1989
FITZGERALD, TALMAN, INC.
December 4, 1986 - September 1, 1988
J. W. GANT & ASSOCIATES, INC.
January 3, 1986 - November 10, 1986
MARSHALL DAVIS, INC.
August 7, 1985 - November 12, 1985
SECURITIES USA, INC.
March 13, 1985 - July 5, 1985
WALL STREET WEST, INC.
September 25, 1984 - October 30, 1984
CHESLEY AND DUNN, INC.
March 14, 1983 - February 27, 1984
VANTAGE SECURITIES OF COLORADO, INC.
November 4, 1981 - October 25, 1982
B. J. LEONARD AND COMPANY, INC.
August 10, 1977 - August 4, 1981
FIRST FINANCIAL SECURITIES, INC.
March 28, 1977 - October 22, 1977
BLINDER, ROBINSON & CO., INC.
November 28, 1975 - April 3, 1978
DOUGLASS & CO. INCORPORATED
December 10, 1974 - November 28, 1975
DOUGLAS STANAT & CO
October 26, 1973 - January 5, 1975
BARTON AND COMPANY INCORPORATED
July 2, 1973 - November 16, 1973
DUPONT WALSTON, INCORPORATED
February 14, 1973 - July 2, 1973
DUPONT GLORE FORGAN 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
Series 1
Date: 2/8/1973
Registered Representative ExaminationSeries 40
Date: 5/28/1976
Registered Principal ExaminationCurrent Firm
NTB FINANCIAL CORPORATION
CRD#: 7425 / SEC#: 801-65853, 8-21884
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN, MICHAEL JOHN | SHAREHOLDER | 1437315 |
| PETRELLI, ANTHONY BENEDICT | SHAREHOLDER | 809169 |
| ROESENER, REGINA LEE | SHAREHOLDER | 1937783 |
| CAMPEN, ANTHONY JOSEPH | CHIEF COMPLIANCE OFFICER, PRINCIPAL OPERATIONS OFFICER | 1959903 |
| DOWELL, BRAD ALLEN | CHIEF FINANCIAL OFFICER FINOP, PRINCIPAL FINANCIAL OFFICER | 1308189 |
Regulatory assets under management
| Total Number of Accounts | 724 |
| AUM (Assets Under Management) | $ 250,252,265 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 4 |
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.
