Steven Casey
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 Casey was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2009. Steven had worked at 5 firms and has passed the Series 63, Series 79TO, 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
December 19, 2023 - October 17, 2024
INDEPENDENT BROKERAGE SOLUTIONS LLC
March 9, 2021 - December 23, 2021
TERRANOVA CAPITAL EQUITIES, INC
June 25, 2018 - March 11, 2020
AXIOM CAPITAL MANAGEMENT, INC.
June 16, 2011 - July 11, 2018
DRIVEWEALTH INSTITUTIONAL LLC
July 7, 2009 - August 4, 2010
FIRST CITIZENS CAPITAL SECURITIES, 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
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
INDEPENDENT BROKERAGE SOLUTIONS LLC
CRD#: 153563 / SEC#: , 8-68549
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
