John P. 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.
John Patrick Cassidy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1973. John had worked at 3 firms and has passed the Series 63, Series 7, Series 24, Series 27, Series 4 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
November 18, 2003 - February 26, 2014
TOCQUEVILLE SECURITIES L.P.
March 19, 1990 - September 28, 1990
MICHAEL A. STEINBERG & COMPANY, INC.
March 15, 1973 - February 10, 1986
NATIXIS SECURITIES AMERICAS LLC
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 00
Date: 3/12/1973
General Securities Principal ExaminationCurrent Firm
TOCQUEVILLE SECURITIES L.P.
CRD#: 26001 / SEC#: , 8-42223
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TOCQUEVILLE ASSET MANAGEMENT L.P. | LIMITED PARTNER | |
| CHUN, YUEN NA | FINOP | 2219603 |
| GRAHAM, KELSEY DUBOIS III | CHIEF COMPLIANCE OFFICER | 5976494 |
| KLEINSCHMIDT, ROBERT WILLIAM | CEO & GSP | 855215 |
| SCHLESINGER, SCOTT IRA | PRESIDENT, CHIEF OPERATING OFFICER & GSP | 1252675 |
| TOCQUEVILLE MANAGEMENT CORPORATION | GENERAL PARTNER |
Disclosures
| Regulatory Event | 4 |
Red Flags
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