Emily C. Rassam

ARCHER INVESTMENT MANAGEMENT

Matthews, NC

CRD#: 5365217

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Professional summary

Emily Casey Rassam, CFP®, who also goes by Emily J Casey, Emily Jane Casey, Emily Casey, is a registered financial advisor currently at ARCHER INVESTMENT MANAGEMENT located in Matthews, North Carolina.

Emily is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Emily has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Core Areas of Focus

Corporate Executives

Financial Psychology/Coaching

Investment Advice with Ongoing Management

Retirement Planning & Distribution Rules

Women's Financial Planning Issues

Question & Answer

What are your service offerings?

Estate Planning

Comprehensive Financial Planni...

Employee and Employer Plan Ben...

Investment Planning

Socially Responsible Investing

Retirement Planning

Social Security Planning

Retirement Income Management

Tax Planning

What is your minimum asset requirement?

500K

Are you a "fiduciary"?

Yes

Aliases

Emily J Casey | Emily Jane Casey | Emily Casey

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) - RIA

Click below to view Emily Casey Rassam'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

January 20, 2022 - Present

ARCHER INVESTMENT MANAGEMENT

RIA

CRD#: 146852

Matthews, NC

Past

April 10, 2018 - January 20, 2022

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Charlotte, NC

Past

April 10, 2018 - January 20, 2022

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

CHARLOTTE, NC

Past

October 1, 2013 - February 5, 2018

PRINCIPAL SECURITIES, INC.

CRD#: 1137

AMHERST, NY

Past

September 25, 2007 - September 9, 2013

SAGE, RUTTY & CO., INC.

CRD#: 3254

ROCHESTER, NY

Past

August 10, 2007 - August 31, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ROCHESTER, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ARCHER INVESTMENT MANAGEMENT

AEQUITAS INVESTMENT MANAGEMENT | ARCHER INVESTMENT MANAGEMENT, LLC | ARCHER INVESTMENT MANAGEMENT

CRD#: 146852 / SEC#: 801-120764

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Colorado

Registered Investment Advisory firm - (4/15/2016 Terminated)

Indiana

Registered Investment Advisory firm - (4/26/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

North Carolina
(1/20/2022)

IAR

Texas
(4/6/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/26/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/16/2008

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/9/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ARCHER INVESTMENT MANAGEMENT

AEQUITAS INVESTMENT MANAGEMENT | ARCHER INVESTMENT MANAGEMENT, LLC | ARCHER INVESTMENT MANAGEMENT

CRD#: 146852 / SEC#: 801-120764

RIA

Registered Investment Advisory firm - (4/9/2021 Approved)

Colorado

Registered Investment Advisory firm - (4/15/2016 Terminated)

Indiana

Registered Investment Advisory firm - (4/26/2021 Terminated)

Texas

Registered Investment Advisory firm - (4/23/2021 Terminated)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(800) 840-5946

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A BROCHURE (2/10/2026)

Regulatory assets under management

Total Number of Accounts	2,174
AUM (Assets Under Management)	$ 370,799,063

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.

Contact information

(xxx) xxx-xxxx

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Advisor Monitoring

Firm Stability Insights

Emily C. Rassam

Professional summary

Core Areas of Focus

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Emily Casey Rassam's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

PRINCIPAL SECURITIES, INC.

SAGE, RUTTY & CO., INC.

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

ARCHER INVESTMENT MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/2008

Series 63

Date: 8/17/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/16/2008

Series 6

Date: 8/9/2007

Current Firm

ARCHER INVESTMENT MANAGEMENT

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ARCHER INVESTMENT MANAGEMENT

TRUST BUT VERIFY

Contact information

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