Henry P. Castellanos
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.
Henry Peter Castellanos JR, who also goes by Henry Castellanos, Pete Castellanos, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1985. Henry had worked at 4 firms and has passed the Series 63, Series 55 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
November 21, 2000 - July 11, 2014
GLACIER ASSET MANAGEMENT, L.L.C.
January 7, 1994 - May 24, 2001
ROTH CAPITAL PARTNERS, LLC
October 26, 1990 - January 12, 1994
PRUDENTIAL EQUITY GROUP, LLC
October 25, 1985 - November 2, 1990
CITIGROUP GLOBAL MARKETS 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
Series 55
Date: 11/29/2000
Limited Representative-Equity Trader ExamCurrent Firm
GLACIER ASSET MANAGEMENT, L.L.C.
CRD#: 134377 / SEC#: 802-79935
Contact information
Exempt reporting advisers
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 10/7/2014 |
| California | ERA - Withdrawn | 12/26/2019 |
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.
