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JC

Julie G. Castle

Some features on this profile are disabled
CRD#: 1397035
JC

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.

Julie Gamlin Castle, CFP®, who also goes by Julie Marie Gamin, was a registered financial professional .

Julie is a previously registered financial professional and started their career in finance in 1985. Julie had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Julie Marie Gamin

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.
The advisor shows no other business activity.

Blog Corner

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®
CFP®

Certified Financial Planner

Experience

Past

June 17, 2011 - January 14, 2016

ZIONS CAPITAL ADVISORS, INC.

RIA
CRD#: 131308
RENO, NV
Past

June 17, 2011 - January 14, 2016

ZIONS DIRECT, INC.

BD
CRD#: 17776
SALT LAKE CITY, UT
Past

July 16, 2007 - May 27, 2011

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
BILLINGS, MT
Past

July 16, 2007 - May 27, 2011

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
BILLINGS, MT
Past

October 20, 2004 - May 31, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
BOSTON, MA
Past

October 20, 2004 - May 31, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

September 28, 2004 - October 20, 2004

QUICK & REILLY, INC.

RIA
CRD#: 11217
BOSTON, MA
Past

September 28, 2004 - October 20, 2004

QUICK & REILLY, INC.

BD
CRD#: 11217
NEW YORK, NY
Past

April 11, 2002 - August 26, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
RENO, NV
Past

October 17, 2000 - August 26, 2004

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

September 17, 1987 - April 30, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

September 13, 1985 - September 10, 1987

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

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".
ZC
ZIONS CAPITAL ADVISORS, INC.
CB&T WEALTH MANAGEMENT | ZIONS WEALTH ADVISORS | ZIONS INSTITUTIONAL LIQUIDITY MANAGEMENT | ZIONS CAPITAL ADVISORS, INC. | VECTRA WEALTH ADVISORS | STRAIGHT INVESTMENT ADVISORS, INC. | STRAIGHT INVESTMENT ADVISERS, INC. | NEVADA STATE INVESTMENT SERVICES | NB|AZ WEALTH MANAGEMENT | CORPORATE INVESTMENTS & LIQUIDITY MANAGEMENT | CONTANGO CAPITAL ADVISORS, INC. | CONTANGO CAPITAL ADVISORS

CRD#: 131308 / SEC#: 801-63287

RIA
Registered Investment Advisory firm - (7/28/2004 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/16/2000
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/19/1985
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/14/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/16/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 9/30/1985
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/15/2001
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/22/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/22/2000
General Securities Principal Examination

Current Firm

ZC
ZIONS CAPITAL ADVISORS, INC.
CB&T WEALTH MANAGEMENT | ZIONS WEALTH ADVISORS | ZIONS INSTITUTIONAL LIQUIDITY MANAGEMENT | ZIONS CAPITAL ADVISORS, INC. | VECTRA WEALTH ADVISORS | STRAIGHT INVESTMENT ADVISORS, INC. | STRAIGHT INVESTMENT ADVISERS, INC. | NEVADA STATE INVESTMENT SERVICES | NB|AZ WEALTH MANAGEMENT | CORPORATE INVESTMENTS & LIQUIDITY MANAGEMENT | CONTANGO CAPITAL ADVISORS, INC. | CONTANGO CAPITAL ADVISORS

CRD#: 131308 / SEC#: 801-63287

RIA
Registered Investment Advisory firm - (7/28/2004 Approved)
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Contact information

Main Address
Zions Capital Advisors One South Main St. 12th Floor, Salt Lake City, UT, 84133
Mailing Address
Phone number
(800) 608-3202
Established
Firm type
Fiscal year end
# of Employees
16

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ZIONS CAPITAL ADVISORS, INC. (5/7/2025)

Regulatory assets under management

Total Number of Accounts88
AUM (Assets Under Management)$ 1,460,957,454

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/11/2025
Cover Page
Report
02/26/2024
Cover Page
Report
02/21/2023
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.

Company Information

ZIONS CAPITAL ADVISORS, INC.

CRD#: 131308

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