David S. Castle
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.
David Scott Castle, who also goes by David Brinko, Sherwood Brinko, Brinko Sherwood Castle, Brinko Castle, Sherwood Castle, David Sherwood, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1985. David had worked at 5 firms and has passed the Series 63, Series 7, Series 22, Series 24, Series 27 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 1996 - October 10, 1997
SPECTRUM SECURITIES, INC.
November 30, 1994 - December 11, 1997
CAPITAL MARKETS GROWTH CORPORATION
July 26, 1993 - April 1, 1994
CURRENCY MANAGEMENT INTERNATIONAL, INC.
April 29, 1992 - October 13, 1993
CONSOLIDATED INTERCAPITAL CORPORATION
September 5, 1985 - April 15, 1992
AGOURA HILLS INVESTMENT GROUP, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
SPECTRUM SECURITIES, INC.
CRD#: 29305 / SEC#: , 8-44217
Contact information
Documents
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.
