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CU

Cassandra Ucciferri

LIGHTPATH CAPITAL,
Southlake, TX 76092
Some features on this profile are disabled
CRD#: 7149880
CU

Professional summary

Cassandra Ucciferri, who also goes by Cassandra Jolie Ucciferri, Cassie Ucciferri, is a registered financial professional currently at LIGHTPATH CAPITAL, INC located in Southlake, Texas.

Cassandra is registered as a RR (Registered Representative) and started their career in finance in 2019. Cassandra has worked at 2 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

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) - BD

Click below to view Cassandra Ucciferri's CRS (Customer Relationship Summary).
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

January 23, 2024 - Present

LIGHTPATH CAPITAL, INC

Office #1: 1560 E. Southlake Blvd., Suite 100, Southlake, TX 76092
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.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Texas
(1/25/2024)

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
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
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Contact information

Main Address
1560 E. Southlake Blvd. Suite 100, Southlake, TX 76092
Mailing Address
1560 E. Southlake Blvd. Suite 100, Southlake, TX 76092
Phone number
(214) 734-2957
Established
California since 06/02/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

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

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#: 34617Southlake, TX 76092

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