Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Andrew Casella is a financial professional with over 30 years of experience in the industry. Richard has held various roles at prominent financial institutions, including Pacific Crest Securities LLC, Dain Rauscher Incorporated, PaineWebber Incorporated, and SBC Warburg, Inc. Currently, Richard is associated with Fnex Capital, LLC, a registered broker-dealer, where he is responsible for providing investment advisory services. Richard is registered in Florida and Massachusetts. He holds various professional certifications, including Series 7, Series 24, Series 55, Series 57TO, Series 99TO, and SIE.
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.
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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2
IN
03/27/2020 - Present
Fnex Capital, LLC (INDIANAPOLIS IN)
TX
02/01/2019 - 03/23/2020
INDEPENDENT INVESTMENT BANKERS, CORP. (AUSTIN TX)
NY
04/27/2017 - 07/25/2018
INTL FCSTONE FINANCIAL INC. (NEW YORK NY)
FL
12/16/2015 - 04/05/2017
BULLTICK, LLC (MIAMI FL)
MA
03/22/2001 - 01/07/2015
PACIFIC CREST SECURITIES LLC (BOSTON MA)
NY
04/14/1999 - 03/15/2001
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NJ
01/21/1997 - 04/08/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
06/03/1996 - 12/09/1996
SBC WARBURG, INC. (NEW YORK NY)
NY
04/18/1995 - 06/03/1996
S.G. WARBURG & CO. INC. (NEW YORK NY)
NY
03/14/1991 - 03/07/1995
H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)
CT
10/17/1988 - 03/16/1991
ACCESS SECURITIES, INC. (STAMFORD CT)
NA
09/14/1987 - 12/09/1988
INTERVEST SECURITIES, INC.
NA
05/30/1986 - 08/28/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
06/18/1985 - 06/03/1986
MOSELEY, HALLGARTEN, ESTABROOK & WEEDEN, INC.
BC
Issued 07/11/1985
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/20/1988
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 07/25/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/15/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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