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Joel Harold Kassewitz

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Information

Other Names: Joel H Kassewitz
Firm:
Type: Dual Registration
Description

Joel Kassewitz is a financial professional at Credit Suisse Securities (USA) LLC, a broker-dealer with over 3,750 registered representatives nationwide. Joel has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Credit Suisse Lending LLC 1 year Dec 2013 - Present
Credit Suisse Securities (USA) LLC 6 years, 3 months Sep 2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Incorporated 9 years, 2 months Jul 1999 - Sep 2008
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 01/16/1997
Uniform Securities Agent State Law ExaminationSeries 63 05/10/1988
General Securities Representative ExaminationSeries 7 04/16/1988

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Joel Harold Kassewitz has not answered any questions on Financial Q&A.

Top Guides

Joel Harold Kassewitz has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
State or Municipal Government Entities
Corporations or Other Businesses
Other
Other Pooled Investment Vehicles
Investment Companies
Charitable Organizations
Pension and Profit Sharing Plans
Banking or Thrift Institutions
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

4 Customer Disputes

4 Customer Disputes

As of Date
09/06/2014
09/21/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions