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John Collins Cassels

Paulson Investment Co. LLC

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About John Collins Cassels

John Collins Cassels is a financial professional with over 20 years of experience in the industry. John is currently registered with Paulson Investment Co. LLC in St. Petersburg, Florida, and is licensed to provide investment advice in a number of states. Prior to joining Paulson Investment Co. LLC, John held positions with a number of other firms, including Newport Coast Securities, Inc., I-Bankers Securities, Inc., Rodman & Renshaw, LLC, SMH Capital Inc., UBS Financial Services Inc., and Salomon Smith Barney Inc. John has a broad range of experience in the financial services industry, and is committed to providing his clients with personalized financial advice and guidance.

Firm Information

John Cassels is currently registered with Paulson Investment Co. LLC. Paulson Investment Co. LLC is a Limited Liability Company formed on March 23, 2017, and is approved to operate in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has a history of 33 regulatory events, 1 civil event, 8 arbitrations, and 1 bond disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

34

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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John Cassels’s Registration & Firm History

FL

04/05/2022 - Present

Paulson Investment Co. LLC (St. Petersburg FL)

NY

03/29/2017 - 03/02/2018

PAULSON INVESTMENT COMPANY LLC (NEW YORK NY)

NY

12/27/2016 - 03/03/2017

PAULSON INVESTMENT COMPANY LLC (NEW YORK NY)

NY

03/28/2013 - 06/23/2016

NEWPORT COAST SECURITIES, INC. (NEW YORK NY)

NY

11/28/2011 - 03/22/2013

I-BANKERS SECURITIES, INC. (NEW YORK NY)

NY

08/31/2009 - 11/22/2011

RODMAN & RENSHAW, LLC (NEW YORK NY)

NY

02/04/2005 - 09/11/2009

SMH CAPITAL INC. (NEW YORK NY)

NJ

06/14/2002 - 12/17/2004

UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)

NY

07/11/1997 - 06/20/2002

SALOMON SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 04/22/2022

Series 63 - Uniform Securities Agent State Law Examination

IA

Issued 07/17/1997

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 05/10/2024

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 07/28/1997

Series 3 - National Commodity Futures Examination

BC

Issued 07/02/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are 2 public disclosures for John Collins Cassels. Review regulatory record here.
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