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CC

Casey Cassity

APW CAPITAL
Rockaway, NJ 07866
Some features on this profile are disabled
CRD#: 4791467
CC

Professional summary

Casey Cassity, who also goes by Casey Ryan Cassity, is a registered financial professional currently at APW CAPITAL, INC. located in Rockaway, New Jersey.

Casey is registered as a RR (Registered Representative) and started their career in finance in 2005. Casey has worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 24, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Casey Ryan Cassity

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Casey Cassity's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 2, 2021 - Present

APW CAPITAL, INC.

Office #1: 100 Enterprise Drive, Rockaway, NJ 07866
BD
CRD#: 43814
Rockaway, NJ
Past

May 25, 2023 - December 24, 2025

CJC CAPITAL, LLC

RIA
CRD#: 326645
REDONDO BEACH, CA
Past

May 4, 2020 - April 13, 2021

BLUEPRINT CAPITAL MARKETS

BD
CRD#: 44323
NEWARK, NJ
Past

September 23, 2019 - September 30, 2022

AZUL FINANCIAL LLC

RIA
CRD#: 304933
REDONDO BEACH, CA
Past

September 29, 2017 - April 24, 2018

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
LOS ANGELES, CA
Past

November 14, 2016 - September 18, 2017

AZUL FINANCIAL LLC

RIA
CRD#: 284724
TORRANCE, CA
Past

July 14, 2015 - November 15, 2016

OPPENHEIMER & CO. INC.

RIA
CRD#: 249
LOS ANGELES, CA
Past

July 14, 2015 - November 15, 2016

OPPENHEIMER & CO. INC.

BD
CRD#: 249
LOS ANGELES, CA
Past

December 1, 2014 - July 23, 2015

MORGAN STANLEY

RIA
CRD#: 149777
TORRANCE, CA
Past

November 11, 2014 - July 23, 2015

MORGAN STANLEY

BD
CRD#: 149777
TORRANCE, CA
Past

April 3, 2013 - October 2, 2014

OPPENHEIMER & CO. INC.

BD
CRD#: 249
LOS ANGELES, CA
Past

August 11, 2005 - April 2, 2013

SCOTTRADE, INC.

BD
CRD#: 8206
LONG BEACH, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Idaho
(8/11/2025)
RR
New Jersey
(8/2/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/12/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/23/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/10/2005
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/2/2023
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
SRO Registrations
RR
FINRA

Current Firm

AC
APW CAPITAL, INC.
APW CAPITAL, INC. | COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC.

CRD#: 43814 / SEC#: , 8-50433

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Mailing Address
100 Enterprise Drive, Suite 504, Rockaway, NJ 07866
Phone number
(973) 394-0404
Established
New Jersey since 07/03/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
SMITH, TIMOTHY LIAMPRESIDENT & FINOP1407004
JENNINGS, CHRISTINASHAREHOLDER4360546
COUTANT, TONYA MARIECHIEF COMPLIANCE OFFICER4585494
JENNINGS, SEANSHAREHOLDER

Disclosures

Regulatory Event2
Arbitration1

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.

Company Information

APW CAPITAL, INC.

CRD#: 43814Rockaway, NJ 07866

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