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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Richard Casey has been in the financial services industry since December 1991. James Richard Casey is currently registered with Cetera Investment Advisers LLC and North American Wealth Advisors Inc. and has previously been registered with VOYA FINANCIAL ADVISORS, INC., C.R.I. SECURITIES, INC., ASCEND FINANCIAL SERVICES, INC., PRUCO SECURITIES CORPORATION and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA. James Richard Casey holds the Series 6, Series 7, Series 63, and Series 65 securities licenses as well as the SIE exam. James Richard Casey has a CFP and ChFC designation and has been involved in other business activities, including working as an independent insurance agent and serving as CEO of North American Wealth Advisors. James Richard Casey is a registered Investment Advisor Representative in Minnesota and Texas.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
A percentage of the total value of assets under management is charged.
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2
MN
06/29/2023 - Present
Cetera Investment Advisers LLC (JORDAN MN)
MN
03/30/2000 - 06/09/2021
VOYA FINANCIAL ADVISORS, INC. (JORDAN MN)
MN
03/11/1996 - 04/12/2000
C.R.I. SECURITIES, INC. (ST. PAUL MN)
MN
02/23/1996 - 04/12/2000
ASCEND FINANCIAL SERVICES, INC. (ST. PAUL MN)
NJ
12/16/1991 - 03/08/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
12/16/1991 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 6/2/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/2/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 6/26/1998
Series 7 - General Securities Representative Examination
BC
Issued 12/12/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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