James Banigan Casey
Investment Adviser Representative at Rockefeller Capital Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Banigan Casey is an investment adviser representative with Rockefeller Capital Management in Phoenix, AZ, where they have been registered since 2025. They have worked in the securities industry since 2011 and have been registered with 4 firms, including Smead Capital Management, Inc. and Guggenheim Investments. They have passed 5 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in Arizona.
Registrations & licenses
- Investment adviser:
- Arizona
- Broker:
1 state or territory
Arizona
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Nuveen InvestmentsMar 2012 – Aug 2018Chicago, IL
- Guggenheim Funds Distributors, LLCAug 2018 – Aug 2019Chicago, IL
- ALPS Distributors, IncSep 2019 – May 2020Denver, CO
- Smead Capital Management, Inc.Sep 2019 – Jul 2025Phoenix, AZ
- Distribution Services, LLCJun 2020 – Jul 2025Portland, ME
- Rockefeller Capital ManagementJul 2025 – no end date reportedPhoenix, AZ
- Rockefeller Financial LLCJul 2025 – no end date reportedPhoenix, AZ
Official records & sources
Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Rockefeller Capital Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Estimated blended rate
- 0.0125
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 995
- Offices listed on AdvisorFinder:
- 47
- Main office:
- New York, NY
- SEC file number:
- 801-114033
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Banigan Casey has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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