Steven T. Cassens
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.
Steven Thomas Cassens, who also goes by Steve Cassens, Steven Cassens, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2007. Steven had worked at 11 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 17, 2022 - March 30, 2026
FORESIDE FUNDS DISTRIBUTORS LLC
November 17, 2021 - June 3, 2022
INSPEREX LLC
August 1, 2019 - June 22, 2021
FORESIDE FUND SERVICES, LLC
April 3, 2019 - August 1, 2019
BD COMPLIANCE SOLUTIONS, LLC
October 20, 2016 - March 7, 2019
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 13, 2014 - May 18, 2016
QUASAR DISTRIBUTORS, LLC
April 25, 2014 - August 20, 2014
FISHER INVESTMENTS
November 22, 2011 - November 12, 2013
NOMURA SECURITIES INTERNATIONAL, INC.
February 14, 2011 - November 29, 2011
PIMCO INVESTMENTS LLC
May 21, 2007 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
April 20, 2007 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
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
FORESIDE FUNDS DISTRIBUTORS LLC
CRD#: 31334 / SEC#: , 8-45467
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| BRUNNER, JENNIFER ANNE | VP/CHIEF COMPLIANCE OFFICER | 1137783 |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
