Robert J. Cassata
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.
Robert John Cassata, who also goes by Robert John Cassata, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2003. Robert had worked at 5 firms and has passed the Series 63, SIE 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
April 17, 2023 - March 1, 2024
FNEX CAPITAL, LLC
April 18, 2016 - December 12, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
April 18, 2005 - May 5, 2014
FEF DISTRIBUTORS, LLC
April 12, 2004 - April 22, 2005
NEUBERGER BERMAN MANAGEMENT LLC
October 22, 2003 - February 18, 2004
MAXIM GROUP 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
Current Firm
FNEX CAPITAL, LLC
CRD#: 166316 / SEC#: , 8-69199
Contact information
FINRA licenses (51 States and Territories)
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.
