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CU

Cassandra Ucciferri

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CRD#: 7149880
CU

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.

Cassandra Ucciferri, who also goes by Cassandra Jolie Ucciferri, Cassie Ucciferri, was a registered financial professional .

Cassandra is a previously registered financial professional and started their career in finance in 2019. Cassandra had worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cassandra Jolie Ucciferri | Cassie Ucciferri

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 23, 2024 - December 31, 2025

LIGHTPATH CAPITAL, INC

BD
CRD#: 34617
Southlake, TX
Past

August 13, 2019 - February 6, 2022

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Austin, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/4/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/13/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/6/2019
Securities Industry Essentials Examination

Current Firm

LC
LIGHTPATH CAPITAL, INC
LIGHTPATH CAPITAL, INC | STREAMLINE CAPITAL CORPORATION | PROTECTIVE BROKERAGE CORPORATION

CRD#: 34617 / SEC#: , 8-46299

BD
Terminated by SEC on 12/30/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 06/02/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
DHILLON, HARINDER SINGHCHAIRMAN OF THE BOARD
RICHARDSON, MARK JAYOWNER6259211
UCCIFERRI, CHARLES SANTINOPRINCIPAL7158252
UCCIFERRI, LOUIE NMNCCO, FINOP, AML-CO1156956
UCCIFERRI, LOUIE NMNPRESIDENT1156956

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.

Company Information

LIGHTPATH CAPITAL, INC

CRD#: 34617

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