Kathy L. Castillo
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.
Kathy Lynn Castillo was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1994. Kathy had worked at 6 firms and has passed the Series 63, SIE 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
May 22, 2014 - July 8, 2015
ADVANCE CAPITAL SERVICES, INC.
July 2, 2009 - March 12, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2008 - March 12, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2003 - September 8, 2008
CITIGROUP GLOBAL MARKETS INC.
March 19, 1999 - May 5, 2003
OPPENHEIMER & CO. INC.
April 10, 1996 - March 30, 1999
PRUDENTIAL EQUITY GROUP, LLC
June 22, 1995 - April 4, 1996
FIRST OF MICHIGAN CORPORATION
June 27, 1994 - February 22, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
ADVANCE CAPITAL SERVICES, INC.
CRD#: 19347 / SEC#: , 8-37456
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCE CAPITAL GROUP, INC. | HOLDING COMPANY | |
| CAPPELLI, ROBERT JOSEPH | DIRECTOR | 1633880 |
| HARKLEROAD, KATHY JO | VICE PRESIDENT, CCO, SECTY. | 2128508 |
| KATYNSKI, JULIE ANN | VICE PRESIDENT-FINANCE, ASST. SECTY. | 2610072 |
| RATHKA, RAYMOND AUGUST | DIRECTOR | 1633889 |
| SHOEMAKER, JOHN CALVIN | DIRECTOR | 1633885 |
| THEISEN, JOSEPH ROBERT | PRESIDENT | 4275238 |
Red Flags
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