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CB

Casey D. Barraza

DAWSON JAMES SECURITIES
Boca Raton, FL 33432
Some features on this profile are disabled
CRD#: 7778140
CB

Professional summary

Casey Derrickson Barraza, who also goes by Casey Barraza, is a registered financial professional currently at DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida.

Casey is registered as a RR (Registered Representative) and started their career in finance in 2023. Casey has worked at 5 firms and has passed the Series 65, Series 63, Series 87, Series 86, Series 57TO, Series 79TO, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Casey Barraza

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.
Eastpoint NYC Bartender - 25 Avenue B, New York, NY 10009 15 hours per week

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Casey Derrickson Barraza'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 14, 2025 - Present

DAWSON JAMES SECURITIES, INC.

Office #1: 101 North Federal Highway Suite 600, Boca Raton, FL 33432
BD
CRD#: 130645
Boca Raton, FL
Past

November 20, 2024 - February 10, 2025

DOMINARI SECURITIES LLC

BD
CRD#: 18975
NEW YORK, NY
Past

September 14, 2023 - September 11, 2024

SPARTAN CAPITAL PRIVATE WEALTH MANAGEMENT LLC

RIA
CRD#: 154632
NEW YORK, NY
Past

September 13, 2023 - September 11, 2024

SPARTAN CAPITAL SECURITIES, LLC

BD
CRD#: 146251
NEW YORK, NY
Past

August 3, 2023 - August 11, 2023

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
NEW YORK, NY
Past

August 1, 2023 - August 11, 2023

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
NEW YORK, NY

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
Alabama
(9/29/2025)
RR
California
(1/22/2025)
RR
Delaware
(2/13/2025)
RR
Florida
(1/31/2025)
RR
Nevada
(2/18/2025)
RR
New Jersey
(1/23/2025)
RR
New York
(1/14/2025)
RR
Ohio
(6/3/2025)
RR
Puerto Rico
(1/14/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/1/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 87
Date: 5/18/2024
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 4/19/2024
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 57TO
Date: 12/30/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 79TO
Date: 10/17/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/1/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/8/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

DJ
DAWSON JAMES SECURITIES, INC.
DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

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

Main Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Mailing Address
101 North Federal Highway Suite 600, Boca Raton, FL 33432
Phone number
(561) 391-5555
Established
Florida since 07/30/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
ARK FINANCIAL SERVICES, INC.OWNER
DORFMAN, JENNIFERCHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER3009328
KEYSER, ROBERT DAWSON JR.CEO1291503
STICE, HAROLD EUGENECHIEF FINANCIAL OFFICER/FINOP1349210

Disclosures

Regulatory Event12
Civil Event1
Arbitration3

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

DAWSON JAMES SECURITIES, INC.

CRD#: 130645Boca Raton, FL 33432

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