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MARK PAUL CASA
Mark Casa
CRD#: 1986147
IA
B
LPL ENTERPRISE, LLCCRD#: 8733 360 HAMILTON AVE
9TH FLOOR
WHITE PLAINS, NY 10601
9TH FLOOR
WHITE PLAINS, NY 10601
0
Disclosures
17
Years of Experience
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State Registrations
B
New York 11/14/2024
IA
New York 11/14/2024
SRO Registrations
B
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IA
Registered with this firm since 11/14/2024
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Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/11/2024 - 11/14/2024 | White Plains, NY | |
B | 10/11/2024 - 11/14/2024 | White Plains, NY | |
B | 12/22/2018 - 04/03/2019 | NEW YORK, NY | |
B | 05/21/1991 - 03/26/2007 | MIAMI, FL | |
B | 01/07/1991 - 03/25/1991 | NEW YORK, NY | |
B | 10/25/1989 - 01/17/1991 | NEW YORK, NY |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.