James Thomas Cassa

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2009 → Present
  Lpl Financial Llc
  Oradell, NJ

Previous Registrations

• 2004-08-27 → 2009-03-26
  Citigroup Global Markets Inc.
  Ridgewood, NJ
  Paramus, NJ
  Ridgewood, NJ

Other Businesses

1. 5/1/2012: OTHER-CPE SPONSOR - PROVIDE CPE CREDITS TO CPA'S DURING EVENTS.LICENSED BY NJSCPA'S TO PROVIDE TRAINING AND EDUCATION. - TIME SPENT 5%. 2. 9/5/2012: DBA ONLY - CASSA WEALTH MANAGEMENT, P.C. - PARAMUS, NJ. 3. 4/26/2019 - Life Policy Pros - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 04/01/2019 - 2 Hours Per Month During Securities Trading. 4. 1/13/2021 - Creative One - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/13/2021 - 1 Hour Per Month During Securities Trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-08-26
• S63 Uniform Securities Agent State Law Examination
  2002-05-28