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CA

Casey J. Ahern

Some features on this profile are disabled
CRD#: 5320135
CA

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 Joseph Ahern was a registered financial professional .

Casey is a previously registered financial professional and started their career in finance in 2007. Casey had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 2, 2018 - September 26, 2019

CROSSMARK DISTRIBUTORS, INC.

BD
CRD#: 14970
HOUSTON, TX
Past

June 11, 2010 - December 31, 2017

CARILLON FUND DISTRIBUTORS, INC.

BD
CRD#: 139749
ST. PETERSBURG, FL
Past

January 12, 2009 - June 11, 2010

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
TAMPA, FL
Past

December 18, 2007 - June 11, 2010

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
TAMPA, FL

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
RR
IAR
Series 66
Date: 1/14/2008
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: 12/17/2007
General Securities Representative Examination

Current Firm

CD
CROSSMARK DISTRIBUTORS, INC.
CAPSTONE ASSET PLANNING COMPANY | TENNECO ASSET PLANNING COMPANY | CROSSMARK DISTRIBUTORS, INC.

CRD#: 14970 / SEC#: , 8-30994

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

Main Address
15375 Memorial Drive Suite 200, Houston, TX 77079
Mailing Address
15375 Memorial Drive Suite 200, Houston, TX 77079
Phone number
(713) 260-9000
Established
Delaware since 11/09/1983
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# 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#
CROSSMARK GLOBAL HOLDINGS, INC.PARENT COMPANY
COPPEDGE, JIM ANTHONYGENERAL COUNSEL / CHIEF COMPLIANCE OFFICER / PRINCIPAL3275004
LINDSEY, HEATHER TREIGLEPRESIDENT / CHIEF EXECUTIVE OFFICER / DIRECTOR2646043
MIMS, PATRICIAFINOP6954516
WYNANT, SCOTT HOWARDEXECUTIVE VICE PRESIDENT / PRINCIPAL1037373

Disclosures

Regulatory Event2

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

CROSSMARK DISTRIBUTORS, INC.

CRD#: 14970

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