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COLIN SEAN CASEY
CRD#: 5528170
IA
B
NEWEDGE ADVISORSCRD#: 171351 880 W. Long Lake Rd.
Suite 550
Troy, MI 48098
Suite 550
Troy, MI 48098
LPL FINANCIAL LLCCRD#: 6413 880 W Long Lake Rd, Suite 550
Troy, MI 48098
Troy, MI 48098
View By:
4/2/2019
Customer Dispute
Settled
State Registrations
B
Florida 6/6/2024
B
South Carolina 6/6/2024
B
Michigan 6/6/2024
B
Tennessee 11/25/2024
IA
Michigan 6/10/2024
IA
Texas 6/10/2024
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 6/10/2024
B
Registered with this firm since 6/6/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 01/17/2017 - 06/10/2024 | TROY, MI | |
IA | 09/15/2016 - 06/06/2024 | Auburn Hills, MI | |
B | 08/15/2016 - 01/19/2017 | BINGHAM FARMS, MI | |
IA | 08/15/2016 - 08/15/2016 | BINGHAM FARMS, MI | |
IA | 12/03/2008 - 02/24/2016 | ST. CLAIR SHORES, MI | |
B | 12/03/2008 - 02/24/2016 | ST. CLAIR SHORES, MI | |
B | 07/15/2008 - 10/14/2008 | TROY, MI |
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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.