J. M. Casas
Professional summary
J. Michael Casas was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
J. is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, J. had worked at 2 firms, which includes RIVERSTONE WEALTH MANAGEMENT INC., THE CHAMPION GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 29, 2011 - November 1, 2012
RIVERSTONE WEALTH MANAGEMENT, INC.
July 24, 2001 - July 14, 2004
THE CHAMPION GROUP, INC.
State Registrations and Notice Filings
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Exams
Current Firm
RIVERSTONE WEALTH MANAGEMENT, INC.
CRD#: 40418 / SEC#: 801-63700, 8-49047
Contact information
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
Red Flags
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