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MC

Michael A. Casas

WATERMILL INSTITUTIONAL TRADING LLC
Jersey City, NJ 07310
Some features on this profile are disabled
CRD#: 5229101
MC

Professional summary

Michael Alfonso Casas, who also goes by Michael Alfonso Casas Mr., is a registered financial professional currently at WATERMILL INSTITUTIONAL TRADING LLC located in Jersey City, New Jersey.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2007. Michael has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Alfonso Casas Mr.

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 Michael Alfonso Casas'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

March 4, 2014 - Present

WATERMILL INSTITUTIONAL TRADING LLC

Office #1: 111 Town Square Place Suite 1520, Jersey City, NJ 07310
RIA
BD
CRD#: 150892
Jersey City, NJ
Past

October 7, 2013 - March 4, 2014

ACCESS SECURITIES, LLC

BD
CRD#: 22455
NEW YORK, NY
Past

August 3, 2010 - August 1, 2013

WATERMILL INSTITUTIONAL TRADING LLC

BD
CRD#: 150892
NEW YORK, NY
Past

March 5, 2009 - August 3, 2010

WILLIAMS TRADING LLC

BD
CRD#: 43678
WESTPORT, CT
Past

May 21, 2007 - March 2, 2009

KEVIN DANN & PARTNERS, LLC

BD
CRD#: 113591
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
Connecticut
(3/4/2014)
RR
New Jersey
(3/4/2014)
RR
New York
(3/4/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 7/3/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 5/16/2011
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 87
Date: 1/18/2008
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 12/21/2007
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 5/18/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

WI
WATERMILL INSTITUTIONAL TRADING LLC
WATERMILL INSTITUTIONAL TRADING LLC | WATERMILL TRADING LLC

CRD#: 150892 / SEC#: , 8-68311

New Jersey
Registered Investment Advisory firm - SEC (2/10/2025 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
111 Town Square Place Suite 1520, Jersey City, NJ 07310
Mailing Address
111 Town Square Place Suite 1520, Jersey City, NJ 07310
Phone number
(917) 621-3829
Established
Delaware since 01/23/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
20

FINRA licenses (15 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#
WATERMILL TRADING HOLDINGS LLC100% OWNER
BRAM, BENJAMIN SCOTTCEO1319325
DEMPSEY, DAVID JOSEPHCOO,CCO1831193
RUTITSKIY, DMITRIYFINOP6117665
WACHSTETER, GREGORY ALANMANAGING DIRECTOR3165385

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

WATERMILL INSTITUTIONAL TRADING LLC

CRD#: 150892Jersey City, NJ 07310

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