Casey C. Rossiter

Some features on this profile are disabled

CRD#: 4952071

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 Claude Rossiter was a registered financial professional .

Casey is a previously registered financial professional and started their career in finance in 2005. Casey had worked at 8 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

1) CASEY ROSSITER, START DATE 6/24/16, SOLO MUSICIAN, LIVE SHOWS, NON INVESTMENT-RELATED, 20 HOURS/MONTH AND 0 HOURS/MONTH DURING TRADING HOURS 2) CASEY ROSSITER MUSIC SERVICES, START DATE 6/15/18, OWNER/PROVIDER, WEDDINGS/KARAOKE, NON INVESTMENT-RELATED, 6 HOURS/MONTH AND 0 HOURS/MONTH DURING TRADING HOURS 3) NOVEM GROUP, RIA, START DATE 6/1/19, INVESTMENT ADVISER REPRESENTATIVE, INVESTMENT-RELATED, 80 HOURS/MONTH AND 80 HOURS/MONTH DURING TRADING HOURS 4) AMERICAN PORTFOLIOS FINANCIAL SERVICES, BROKER/DEALER, START DATE 6/1/19, REGISTERED REPRESENTATIVE, INVESTMENT-RELATED, 80 HOURS/MONTH AND 80 HOURS/MONTH DURING TRADING HOURS 5) 5 POINTS FINANCIAL SERVICES & 5 POINTS BANK, DBA FOR FIXED INSURANCE, START DATE = 6/1/19, NON-INVESTMENT RELATED, 5 HOURS/MONTH DURING TRADING HOURS. 6) BIG HAIR BREWHOUSE WILDCAT PROPERTIES LLC-BREWERY/BAR EVENT CENTER-NOT INVESTMENT RELATED-START DATE 7/7/22 OWNER 100% OWNERSHIP 60 HOURS DEVOTED PER MONTH XERO HOURS DEVOTED DURTING MARKET TIME

Blog Corner

CRS (Client Relationship Summary)

August 17, 2005 - April 4, 2006

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

FRESNO, CA

Past

July 7, 2005 - April 4, 2006

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/16/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/26/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 7/6/2005

General Securities Representative Examination

Current Firm

FBL MARKETING SERVICES, LLC

EQUITRUST MARKETING SERVICES, INC. | PFS SALES, INC | FBL MARKETING SERVICES, LLC | FBL MARKETING SERVICES, INC. | EQUITRUST MARKETING SERVICES, LLC

CRD#: 5309 / SEC#: , 8-15855

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

5400 University Avenue, West Des Moines, IA 50266

Mailing Address

5400 University Avenue, West Des Moines, IA 50266

Phone number

(515) 225-5400

Established

Iowa since 08/15/2012

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (44 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FBL FINANCIAL GROUP, INC	OWNER
ALDRIDGE, ANTHONY JAMES	CHIEF ACCOUNTING OFFICER	5999478
GLEASON, MATHEW EVERETTE	PRESIDENT	6434929
MAY, CLINT JAMES	VICE PRESIDENT ASSISTANT GENERAL COUNSEL	4129595
MCGONEGLE, JULIE MARIE	FINANCIAL SERVICES ADMINISTRATION VICE PRESIDENT	2188891
MORGAN, JENNIFER LEA	CHIEF COMPLIANCE OFFICER & ASST. SECRETARY	2550729
NELSON, JAMES ARTHUR	MANAGER LIFE ACCOUNTING AND FINOP	4640561
O'TOOL, MICHAEL DEAN	DIRECTOR COMPLIANCE	2570040
SEIBEL, DONALD JOSEPH	TREASURER	6140054
SHRYACK, CHRISTOPHER THOMAS	VICE PRESIDENT LIFE SALES	2105590
ST CLAIR, KARI LOUISE	DIRECTOR, MARKETING SVCS & FIELD SUPPORT	3168561

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Casey C. Rossiter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NOVEM GROUP

AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/16/2005

SIE

Date: 10/1/2018

Series 31

Date: 8/26/2005

Series 7

Date: 7/6/2005

Current Firm

FBL MARKETING SERVICES, LLC

Contact information

FINRA licenses (44 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

FBL MARKETING SERVICES, LLC

TRUST BUT VERIFY

Similar Advisors