Robert E. Caswell
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.
Robert Edward Lee Caswell JR, who also goes by Lee Caswell, Robert E Caswell Jr, Robert E Caswell, Robert Edward Lee Caswell, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2017. Robert had worked at 2 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
September 5, 2018 - September 26, 2018
BRIDGE CAPITAL ASSOCIATES, INC.
July 17, 2017 - May 9, 2018
J.P. MORGAN SECURITIES LLC
May 15, 2017 - May 9, 2018
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil 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.
