Maria L. Castellano

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CRD#: 1239659

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.

Maria Lucila Castellano, who also goes by M Lucila Castallano, M Lucila Castallano, M Lucila Castellano, Kalandy Cuellar, Lucila Castallano Cuellar, Lucila Castellano Cuellar, Lucy Cuellar, was a registered financial professional .

Maria is a previously registered financial professional and started their career in finance in 1984. Maria had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 4, Series 53, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES, INVESTMENT RELATED: YES, POSITION/TITLE/RELATIONSHIP: REPRESENTATIVE, BRIEF DESCRIPTION OF DUTIES: SELLS FIXED LIFE (2) NAME OF OTHER BUSINESS: RELAMPAGO RANCH, INVESTMENT RELATED: NO, ADDRESS: 19830 WITTENBURG, SAN ANTONIO, TX 78256, NATURE OF BUSINESS: CATTLE AND HUNTING INTEREST, POSITION/TITLE/RELATIONSHIP: PARTNER, APX NUMBER OF HOURS PER MONTH: 0; (3) NAME OF OTHER BUSINESS: FINANCIAL NETWORK - LANDMARK REGION INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES POSITION/TITLE/RELATIONSHIP: AFFILIATED PERSON START DATE: 01/02/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES (4) NAME OF OTHER BUSINESS: CASTELLANO & TIJERINA FAMILY L.P ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: FAMILY LIMITED PARTNERSHIP ; START DATE: 01/2019 ; POSITION/TITLE/RELATIONSHIP: SECRETARY / PARTNER ; APX NUMBER OF HOURS PER WEEK: 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: 1 ; BRIEF DESCRIPTION OF DUTIES: MAINTAIN ACCOUNT, NOT A SIGNER. BOOKKEEPING AND DECISION MAKING AS A PARTNER ; (5) NAME OF OTHER BUSINESS: N/A ; INVESTMENT RELATED: NO ; ADDRESS: SAME AS RESIDENTIAL LOCATION ; NATURE OF BUSINESS: LIENHOLDER ; START DATE: 03/2019 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: LESS THAN 1 ; APX NUMBER OF HOURS DURING TRADING HOURS: LESS THAN 1 ; BRIEF DESCRIPTION OF DUTIES: OWNER FINANCED HOME. COLLECT PAYMENTS MONTHLY ;

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 29, 2023 - December 31, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

LEANDER, TX

Past

March 25, 1999 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

LEANDER, TX

Past

March 25, 1999 - December 31, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

LEANDER, TX

Past

July 17, 1998 - February 8, 1999

D.H. HILL SECURITIES, LLLP

CRD#: 41528

KINGWOOD, TX

Past

July 1, 1997 - April 13, 1999

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

July 21, 1989 - June 3, 1997

MARKETING ONE SECURITIES, INC.

CRD#: 16611

PORTLAND, OR

Past

July 28, 1986 - March 1, 1989

LPL FINANCIAL LLC

CRD#: 6413

Past

February 27, 1984 - June 10, 1986

INVEST FINANCIAL CORPORATION

CRD#: 12984

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/13/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/18/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/26/2010

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 2/13/2006

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 51

Date: 5/21/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 10/27/1986

General Securities Principal Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Maria L. Castellano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

D.H. HILL SECURITIES, LLLP

IFMG SECURITIES, INC.

MARKETING ONE SECURITIES, INC.

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/13/1984

SIE

Date: 10/1/2018

Series 7

Date: 2/18/1984

Series 4

Date: 3/26/2010

Series 53

Date: 2/13/2006

Series 51

Date: 5/21/2003

Series 24

Date: 10/27/1986

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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