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RC

Rick Casagrande

INVESCO DISTRIBUTORS
Dix Hills, NY
Some features on this profile are disabled
CRD#: 5215580
RC

Professional summary

Rick Casagrande, who also goes by Rick Adam Casagrande, is a registered financial professional currently at INVESCO DISTRIBUTORS, INC. located in Dix Hills, New York.

Rick is registered as a RR (Registered Representative) and started their career in finance in 2006. Rick has worked at 4 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Adam Casagrande

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 Rick Casagrande's 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

June 2, 2020 - Present

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 7369
Dix Hills, NY
Past

February 22, 2013 - May 27, 2019

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

January 17, 2007 - August 31, 2009

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

October 23, 2006 - January 17, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
NEW YORK, NY

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
New York
(6/2/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 1/29/2016
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/15/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/16/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ID
INVESCO DISTRIBUTORS, INC.
A I M DISTRIBUTORS, INC. | INVESCO DISTRIBUTORS, INC. | INVESCO AIM DISTRIBUTORS, INC. (EFFECTIVE 03/31/08) | INVESCO AIM DISTRIBUTORS, INC. | A.I.M. DISTRIBUTORS, INC. | A I M DISTRIBUTORS, INC.

CRD#: 7369 / SEC#: , 8-21323

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

Main Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046-1173
Phone number
(713) 214-1919
Established
Delaware since 11/18/1976
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
INVESCO ADVISERS, INC.DIRECT OWNER
GREGSON, MARK WILLIAMCHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATING OFFICER/FINOP2630230
HANCOCK, TRISHA BELLCHIEF COMPLIANCE OFFICER4373744
HARRIS, JERRY CLINTON IIDIRECTOR3275064
KRAMER, BRIAN KEITHDIRECTOR4132102
MCDONOUGH, JOHN CARLINPRESIDENT/CEO/DIRECTOR2363299
WISDOM, CRISSIE MCMENNAMYANTI-MONEY LAUNDERING COMPLIANCE OFFICER2793857

Disclosures

Regulatory Event3

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

INVESCO DISTRIBUTORS, INC.

CRD#: 7369Dix Hills, NY

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