Steven P. Cassel
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 Paul Cassel was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1980. Steven had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2012 - December 8, 2016
VOYA FINANCIAL ADVISORS, INC.
July 23, 2001 - April 4, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 23, 2001 - November 1, 2011
OSAIC FA, INC.
August 22, 2000 - August 13, 2001
PRINCIPAL SECURITIES, INC.
December 28, 1981 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 9, 1980 - August 8, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 9, 1980 - August 8, 2000
OSAIC FA, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 6/1/1980
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
