Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carl? Claim Your ProfileCarl Alex Cascella is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Carl has been in the industry since 1980 and is registered to provide investment advice in 34 states. Carl's career began at Paine, Webber, Jackson & Curtis Inc. and included time with UBS Financial Services Inc. Carl's specializations include securities, commodities, futures, and options. Carl has a strong background in portfolio management and financial planning. Carl currently provides services to individuals, high-net-worth individuals, corporations, pension plans, charitable organizations, insurance companies, and state or municipal government entities.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CT
05/28/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SOUTHBURY CT)
CT
04/29/1987 - 08/26/2009
UBS FINANCIAL SERVICES INC. (SOUTHBURY CT)
NA
01/31/1980 - 12/10/1983
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
04/28/1981 - 01/26/1982
THOMSON MCKINNON SECURITIES INC.
NA
02/08/1980 - 04/20/1981
SHEARSON LOEB RHOADES INC.
NA
12/04/1979 - 02/18/1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
IA
Issued 04/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/05/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/20/1987
Series 3 - National Commodity Futures Examination
BC
Issued 04/25/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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