Nicholas J. Cassano
Professional summary
Nicholas J Cassano, who also goes by Nicholas Joseph Cassano, Nicholas Cassano, is a registered financial professional currently at ALPACA SECURITIES LLC located in Itasca, Illinois.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2011. Nicholas has worked at 11 firms and has passed the Series 66, Series 3, SIE, Series 34, Series 7, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas J Cassano's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2025 - Present
ALPACA SECURITIES LLC
June 22, 2023 - September 2, 2025
TRADIER BROKERAGE, INC.
September 13, 2021 - May 24, 2023
ROBINHOOD FINANCIAL, LLC
August 5, 2020 - September 8, 2021
PHILLIP CAPITAL INC.
December 22, 2017 - August 15, 2019
TD AMERITRADE CLEARING, INC.
March 29, 2016 - January 31, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 29, 2016 - August 15, 2019
TD AMERITRADE, INC.
March 29, 2016 - August 15, 2019
TD AMERITRADE, INC.
January 29, 2015 - March 17, 2016
PNC WEALTH MANAGEMENT LLC
January 29, 2015 - March 17, 2016
PNC WEALTH MANAGEMENT LLC
May 12, 2014 - December 10, 2014
EDWARD JONES
May 12, 2014 - December 10, 2014
EDWARD JONES
September 13, 2013 - April 11, 2014
MORGAN STANLEY
August 20, 2013 - April 11, 2014
MORGAN STANLEY
March 23, 2011 - April 26, 2011
BLUE CAPITAL 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
(9/8/2025)
(9/8/2025)
Exams
FINRA
Investors' Exchange LLC
Nasdaq BX, Inc.
Nasdaq Stock Market
Current Firm
ALPACA SECURITIES LLC
CRD#: 288202 / SEC#: , 8-69928
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPACADB, INC. | SOLE MEMBER | |
| DIAZ, ZACHARY LUCIANO | SR. DIRECTOR CUSTODY & SETTLEMENT, PRINCIPAL OPERATIONS OFFICER | 6027965 |
| DUSSEAULT, DAVID STANLEY | PRESIDENT AND COO | 2819891 |
| GARZA, FELIPE | AML COMPLIANCE OFFICER | 4613815 |
| LEE, TONY | GLOBAL HEAD OF BROKERAGE | 5618563 |
| SAUGSTAD, MONIQUE D | CHIEF COMPLIANCE OFFICER | 4127241 |
| TAIFI, MEHDI | CHIEF RISK OFFICER | 5977322 |
| WETTERWALD, TAMMY CAO | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, FINOP | 6113272 |
Disclosures
| Regulatory Event | 1 |
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.
