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Duane Irwin Castles

CRD# 1364054·Registered 1985 - 2015
Previously Registered: Being a previously registered professional could mean that Duane 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.

Professional Summary

Duane Irwin Castles was a registered financial advisor. Duane was a previously registered financial professional and started their career in finance 1985 - 2015. Duane had worked at 3 firms and has passed the Series 63, Series 52 and Series 53 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

43 years in the financial services industry

Current & Past Employments

PRIME ADVISORS, INC.·CRD# 107680
RIA
Redmond, WA
September 13, 1990 - December 31, 2015
MUNICIPAL INVESTMENT GROUP SECURITIES, INC.·CRD# 23641
BD
April 17, 1989 - January 21, 1992
SEATTLE-NORTHWEST SECURITIES CORPORATION·CRD# 10639
BD
Seattle, WA
November 28, 1988 - April 13, 1989
SEATTLE-NORTHWEST SECURITIES CORPORATION·CRD# 10639
BD
Seattle, WA
May 8, 1985 - September 27, 1988

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Current Firm

PA
PRIME ADVISORS, INC.

PRIME ADVISORS INC | SLC MANAGEMENT | PRIME ADVISORS, INC.

CRD#: 107680 / SEC#: 801-33673

Contact Information

Main Address

22635 Ne Marketplace Drive Suite 160, Redmond, WA 98053

Documents

Latest Form ADV

Part 2 Brochures

PRIME ADVISORS, INC. FORM ADV PART 2B - JUNE 18, 2019 (6/18/2019)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1989About the Series 63 exam

Series 52 — Municipal Securities Representative Examination

Passed Aug 1983About the Series 52 exam

Series 53 — Municipal Securities Principal Examination

Passed Jan 1984About the Series 53 exam

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CRS (Client Relationship Summary)

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

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