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Detailed Report
Daniel Clarke Caissie
Daniel Caissie
CRD#: 7281694
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 714B SOUTHBRIDGE STREET
AUBURN, MA 01501
Registration History
2021202220232024202520262 FIRMS2025 - Present (<1 year)BTHE INVESTMENT CENTER, INC. (CRD# 17839)2021 - 2025 (3 years)BNORTHWESTERN MUTUAL INVESTMENT... (CRD# 2881)2021 - 2021 (<1 year)IAIC ADVISORY SERVICES, INC. (CRD# 140190)2024 - 2025 (1 year)
License(s)

State Registrations

IA
Arizona 3/6/2025
IA
Massachusetts 3/6/2025
B
Connecticut 3/6/2025
IA
New Hampshire 3/6/2025
IA
Connecticut 3/6/2025
IA
Rhode Island 3/6/2025
B
Florida 1/2/2024
B
South Carolina 3/6/2025
IA
Florida 3/6/2025
IA
South Carolina 3/6/2025
B
Massachusetts 3/6/2025

SRO Registrations

B
 FINRA

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
LPL FINANCIAL LLC (CRD#:6413)
714B SOUTHBRIDGE STREET, AUBURN, MA 01501
Registered with this firm since 3/6/2025
B
LPL FINANCIAL LLC (CRD#:6413)
714B SOUTHBRIDGE STREET, AUBURN, MA 01501
Registered with this firm since 3/6/2025
Previous Registration(s)
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IA
 01/09/2024 - 03/06/2025 IC ADVISORY SERVICES, INC. (CRD#:140190) AUBURN, MA
B
 09/15/2021 - 03/06/2025 THE INVESTMENT CENTER, INC. (CRD#:17839) AUBURN, MA
B
 03/25/2021 - 09/20/2021 NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (CRD#:2881) BOSTON, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.