Cassandra K. Cotsworth
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.
Cassandra Killion Cotsworth, who also goes by Cass Lee Killion, Cassandra Lee Killion, Cassie Lee Killion, was a registered financial professional .
Cassandra is a previously registered financial professional and started their career in finance in 2005. Cassandra had worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2017 - January 10, 2024
CHARLES SCHWAB & CO., INC.
May 22, 2015 - December 31, 2015
CHARLES SCHWAB & CO., INC.
May 22, 2015 - January 10, 2024
CHARLES SCHWAB & CO., INC.
October 25, 2013 - April 27, 2015
CURIAN CAPITAL, LLC
October 25, 2013 - April 27, 2015
CURIAN CLEARING, LLC
July 16, 2013 - October 3, 2013
TRANSAMERICA CAPITAL, LLC
January 14, 2010 - July 15, 2013
CURIAN CLEARING, LLC
November 7, 2008 - July 15, 2013
CURIAN CAPITAL, LLC
November 7, 2008 - December 31, 2009
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 22, 2008 - October 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 3, 2008 - October 24, 2008
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 14, 2007 - May 19, 2008
OLD MUTUAL CAPITAL
May 31, 2006 - May 19, 2008
OLD MUTUAL INVESTMENT PARTNERS
April 22, 2006 - May 8, 2006
TD AMERITRADE, INC.
October 18, 2005 - May 8, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 9, 2005 - April 22, 2006
TD AMERITRADE CLEARING, INC.
March 9, 2005 - May 31, 2005
OLD MUTUAL INVESTMENT PARTNERS
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
