Cassiel Shoben
Professional summary
Cassiel Shoben, who also goes by Cass Shoben, is a registered financial professional currently at WELLS FARGO SECURITIES, LLC located in Charlotte, North Carolina.
Cassiel is registered as a RR (Registered Representative) and started their career in finance in 2002. Cassiel has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Cassiel Shoben's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 19, 2023 - Present
WELLS FARGO SECURITIES, LLC
Office #1: 550 South Tryon Street, Charlotte, NC 28202March 18, 2011 - November 8, 2017
NATWEST MARKETS SECURITIES INC.
March 23, 2009 - March 25, 2010
QUEST CAPITAL STRATEGIES, INC.
December 13, 2007 - April 16, 2008
DEUTSCHE BANK SECURITIES INC.
September 13, 2005 - May 12, 2006
NYLIFE SECURITIES LLC
February 9, 2004 - January 24, 2005
GUNNALLEN FINANCIAL, INC
August 21, 2003 - October 1, 2003
NATIONAL PLANNING CORPORATION
January 18, 2002 - April 24, 2002
STERLING ENTERPRISES GROUP, 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 99TO
Date: 5/18/2023
Operations Professional ExaminationFINRA
Current Firm
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 1 |
Red Flags
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