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JOSE ALBERTO CASELLAS SR
JOCHI CASELLAS, JOSE ALBERTO CASELLAS
CRD#: 2638747
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 200 S BISCAYNE BLVD
MIAMI, FL 33131
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2001 (<1 year)2 FIRMS2005 - 2010 (5 years)2 FIRMS2010 - Present (14 years)BSANTANDER SECURITIES (CRD# 41791)2002 - 2005 (2 years)BGOVERNMENT DEVELOPMENT BANK FO... (CRD# 37853)1996 - 1998 (2 years)
Disclosure(s)
View By:
3/11/2020
Customer Dispute
Settled
5/2/2019
Customer Dispute
Settled
License(s)

State Registrations

B
California 10/24/2011

B
New Jersey 5/18/2017

B
Delaware 11/5/2012

B
New York 3/21/2012

B
Florida 8/12/2010

B
North Carolina 11/27/2012

IA
Florida 8/16/2010

B
Pennsylvania 5/11/2020

B
Georgia 4/18/2014

B
Puerto Rico 8/12/2010

B
Illinois 4/7/2011

IA
Texas 2/4/2022

B
Maryland 12/21/2012

B
Texas 2/7/2022

B
Nevada 3/6/2014

B
Virginia 11/28/2012

SRO Registrations

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
200 S BISCAYNE BLVD, MIAMI, FL 33131
15 2ND ST / 15 CALLE 2, GUAYNABO, PR 00968
Registered with this firm since 8/16/2010

B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
200 S BISCAYNE BLVD, MIAMI, FL 33131
15 2ND ST / 15 CALLE 2, GUAYNABO, PR 00968
Registered with this firm since 8/12/2010

Previous Registration(s)
th hidden textth hidden textNameLocation
B
02/22/2005 - 08/23/2010 UBS FINANCIAL SERVICES INC. (CRD#:8174) SAN JUAN, PR
B
02/22/2005 - 08/23/2010 UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO (CRD#:13042) HATO REY, PR
B
11/06/2002 - 03/29/2005 SANTANDER SECURITIES (CRD#:41791) BOSTON, MA
B
08/14/2001 - 12/10/2001 UBS PAINEWEBBER INC. (CRD#:8174) WEEHAWKEN, NJ
B
08/14/2001 - 12/10/2001 UBS PAINEWEBBER INCORPORATED OF PUERTO RICO (CRD#:13042) HATO REY, PR
B
04/18/1996 - 07/16/1998 GOVERNMENT DEVELOPMENT BANK FOR PUERTO RICO CAPITAL FUND (CRD#:37853) SANTURCE, PR
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B
Broker
IA
Investment Adviser
Disclosures
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.