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Albert John Cass

Broadridge Business Process Outsourcing, LLC

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About Albert John Cass

Albert John Cass is a securities professional with over 30 years of experience in the financial industry. Albert has a broad range of experience in the securities industry, including roles at Goldman Sachs & Co. LLC, Bear, Stearns & Co. Inc., and Susquehanna Financial Group, LLLP. Albert is currently registered with Broadridge Business Process Outsourcing, LLC and holds a variety of securities licenses, including Series 4, 7, 8, 9, 10, 24, 55, 57TO, and 63.

Firm Information

Albert Cass is currently registered with Broadridge Business Process Outsourcing, LLC. Broadridge Business Process Outsourcing, LLC is a Limited Liability Company formed in 2001-04-06. The firm is registered in California, Colorado, Illinois, New Jersey, New York, and Texas. It is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

109

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Albert Cass’s Registration & Firm History

NY

05/15/2019 - Present

Broadridge Business Process Outsourcing, LLC (NEW YORK NY)

NY

05/15/2017 - 05/06/2019

SUSQUEHANNA FINANCIAL GROUP, LLLP (NEW YORK NY)

NY

06/23/2008 - 06/02/2017

GOLDMAN SACHS & CO. LLC (NEW YORK NY)

NY

11/06/1991 - 06/10/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/21/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 4 - Registered Options Principal Examination

BC

Issued 01/31/2000

Series 24 - General Securities Principal Examination

BC

Issued 03/23/1998

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/20/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/05/1991

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Albert John Cass.
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