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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Cassidy is a financial advisor with over 40 years of experience in the financial services industry. John is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., and has held previous positions with Ladenburg, Thalmann & Co., Inc. and Alex. Brown & Sons. John is a Series 66 and Series 63 licensed holder and has passed other exams such as the Series 9, Series 10, Series 24, Series 57TO, SIE, Series 55, and Series 7 exams. John has active registrations in 55 states and is currently working out of the New York, NY and Sea Girt, NJ offices.
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
NY
11/12/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NA
03/30/1983 - 12/30/1987
LADENBURG, THALMANN & CO., INC.
NA
06/15/1982 - 03/04/1983
ALEX. BROWN & SONS
BOTH
Issued 03/16/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/21/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/15/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/29/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2008
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/15/1982
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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