Brian P. Cassin
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.
Brian Patrick Cassin was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2002. Brian had worked at 8 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2012 - August 24, 2012
THE WILLIAMS CAPITAL GROUP, L.P.
January 7, 2009 - December 5, 2011
SWEDBANK SECURITIES US, LLC
November 7, 2007 - January 5, 2009
ABG SUNDAL COLLIER INC.
April 16, 2007 - September 18, 2007
THOMAS WEISEL PARTNERS LLC
November 6, 2006 - January 16, 2007
MKM PARTNERS LLC
December 5, 2005 - July 17, 2006
G1 EXECUTION SERVICES, LLC
March 24, 2005 - July 17, 2006
E*TRADE SECURITIES LLC
October 15, 2002 - November 15, 2002
EDWARD JONES
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 55
Date: 5/20/2006
Limited Representative-Equity Trader ExamCurrent Firm
THE WILLIAMS CAPITAL GROUP, L.P.
CRD#: 35149 / SEC#: , 8-46623
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WILLIAMS, CHRISTOPHER JUDSON | CHAIRMAN,CEO,LTD PARTNER | 1335377 |
| THE WILLIAMS CAPITAL GROUP, INC. | GENERAL PARTNER | |
| LEVIN, JONATHAN WILLIAM | MANAGING DIRECTOR, LTD PARTNER | 1312315 |
| CALABRISOTTO, DIANNE | LIMITED PARTNER | 1273900 |
| CALABRISOTTO, DIANNE | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1273900 |
| CALABRISOTTO, DIANNE | CCO, CAO | |
| CALABRISOTTO, DIANNE | CHIEF OPERATING OFFICER | 1273900 |
| CARL, STEPHEN JULIUS | SROP, CROP, ASSISTANT VICE PRESIDENT OF THE WILLIAMS CAPITAL GROUP, INC, THE GENERAL PARTNER OF THE WILLIAMS CAPITAL GROUP, L.P. | 1542098 |
| COARD, DAVID ANTHONY | LIMITED PARTNER | 1633685 |
| FINKELSTEIN, DAVID ANDREW | LIMITED PARTNER | 1056495 |
| WO, PATRICK C | CHIEF FINANCIAL OFFICER, FINOP | 1978566 |
Disclosures
| Regulatory Event | 3 |
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.
