Individual Firm
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MICHAEL ANTHONY CASSA
CRD#: 2575236
IA
B
MORGAN STANLEYCRD#: 149777 28 State Street 26Th Floor
Boston, MA 02109
Boston, MA 02109
View By:
6/10/2024
Customer Dispute
Denied
8/5/1998
Customer Dispute
Closed-No Action
State Registrations
B
Alabama 10/4/2021
B
New Jersey 1/20/2016
B
Arizona 1/20/2016
B
New York 1/20/2016
B
California 1/20/2016
B
North Carolina 8/15/2022
B
Colorado 11/11/2021
B
North Dakota 1/14/2021
B
Connecticut 1/20/2016
B
Ohio 11/30/2023
IA
Connecticut 9/28/2016
B
Oregon 8/28/2024
B
Delaware 7/10/2020
B
Pennsylvania 4/27/2020
B
District of Columbia 12/20/2023
B
Rhode Island 1/20/2016
B
Florida 1/20/2016
B
South Carolina 9/30/2020
B
Georgia 1/20/2016
B
South Dakota 1/20/2016
B
Hawaii 1/20/2016
B
Texas 1/20/2016
B
Illinois 4/27/2021
IA
Texas 12/15/2016
B
Maine 1/20/2016
B
Utah 11/6/2023
B
Maryland 3/11/2019
B
Vermont 1/20/2016
B
Massachusetts 1/20/2016
B
Virginia 1/20/2016
B
Minnesota 1/7/2019
B
Washington 1/20/2016
B
Nebraska 1/9/2018
B
Wisconsin 1/9/2018
B
Nevada 9/8/2023
B
Wyoming 1/20/2016
B
New Hampshire 1/20/2016
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 9/28/2016
B
Registered with this firm since 1/20/2016
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/15/2008 - 02/17/2016 | BOSTON, MA | |
B | 05/15/2008 - 02/17/2016 | BOSTON, MA | |
IA | 06/07/2007 - 05/19/2008 | BOSTON, MA | |
B | 01/27/1995 - 05/19/2008 | BOSTON, MA |
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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.