Casey N. Abbott
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.
Casey Neil Abbott was a registered financial professional .
Casey is a previously registered financial professional and started their career in finance in 2004. Casey had worked at 11 firms and has passed the Series 63, SIE, Series 22, Series 62 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2025 - March 31, 2026
THE LEADERS GROUP, INC.
October 8, 2024 - March 31, 2025
LION STREET FINANCIAL, LLC
October 10, 2022 - October 3, 2024
NATIONWIDE INVESTMENT SERVICES CORPORATION
May 4, 2018 - November 12, 2020
AXCELUS FINANCIAL DISTRIBUTION COMPANY
October 25, 2012 - April 12, 2018
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 25, 2011 - October 11, 2012
SECURIAN FINANCIAL SERVICES, INC.
November 1, 2007 - March 31, 2011
AMERICAN GENERAL EQUITY SERVICES CORPORATION
January 17, 2006 - November 28, 2006
WALNUT STREET SECURITIES, INC.
June 29, 2005 - November 18, 2005
U.S. SELECT SECURITIES LLC
December 11, 2004 - June 28, 2005
METLIFE INVESTORS DISTRIBUTION COMPANY
August 9, 2004 - December 11, 2004
METLIFE INVESTORS DISTRIBUTION COMPANY
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 62
Date: 8/23/2005
Corporate Securities Limited Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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