Diana M. Castillo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Diana Maritza Castillo, who also goes by Diana Maritza Brandel, Diana Castillo, was a registered financial professional .
Diana is a previously registered financial professional and started their career in finance in 1984. Diana had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 20, 2017 - June 28, 2019
ARCA CAPITAL INVESTMENTS, INC.
November 17, 2005 - March 27, 2017
CP CAPITAL SECURITIES
November 18, 1996 - August 22, 2005
MORGAN STANLEY DW INC.
November 18, 1996 - August 22, 2005
MORGAN STANLEY DW INC.
July 31, 1993 - November 27, 1996
CITIGROUP GLOBAL MARKETS INC.
November 12, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
July 26, 1988 - November 19, 1992
MORGAN STANLEY DW INC.
November 6, 1986 - December 8, 1987
UBS FINANCIAL SERVICES INC.
October 25, 1984 - November 21, 1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ARCA CAPITAL INVESTMENTS, INC.
CRD#: 109819 / SEC#: , 8-53110
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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