Cassandra E. Lally

BERGAMOT ASSET MANAGEMENT LP

PRINCETON, NJ 08540

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CRD#: 6761062

Professional summary

Cassandra Enriquez-ballo Lally, who also goes by Cassandra Lally, is a registered financial advisor currently at BERGAMOT ASSET MANAGEMENT LP located in Princeton, New Jersey.

Cassandra is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2024. Cassandra has worked at 1 firm and has passed the Series 65 exam.

At a Glance

Always Fiduciary

Aliases

Cassandra Lally

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 Cassandra Enriquez-ballo Lally's 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

June 14, 2024 - Present

BERGAMOT ASSET MANAGEMENT LP

Office #1: 300 Carnegie Center Suite 140, Princeton, NJ 08540

RIA

CRD#: 309424

PRINCETON, NJ

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

New Jersey
(6/14/2024)

IAR

Pennsylvania
(8/26/2024)

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: 5/22/2024

Uniform Investment Adviser Law Examination

Current Firm

BERGAMOT ASSET MANAGEMENT LP

CRD#: 309424 / SEC#: 801-118989

RIA

Registered Investment Advisory firm - (10/27/2020 Terminated)

New Jersey

Registered Investment Advisory firm - (12/21/2020 Approved)

Pennsylvania

Registered Investment Advisory firm - (8/26/2024 Approved)

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).

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Contact information

Main Address

300 Carnegie Center Suite 140, Princeton, NJ 08540

Mailing Address

Phone number

(609) 917-7900

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	227
AUM (Assets Under Management)	$ 88,585,483

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.

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Cassandra E. Lally

Professional summary

At a Glance

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cassandra Enriquez-ballo Lally's CRS (Customer Relationship Summary).

Certified licenses

Experience

BERGAMOT ASSET MANAGEMENT LP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/22/2024

Current Firm

BERGAMOT ASSET MANAGEMENT LP

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

BERGAMOT ASSET MANAGEMENT LP

TRUST BUT VERIFY

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