AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SZ

Susan E. Zaferos

CASTLEOAK SECURITIES, LP
Chicago, IL 60654
Some features on this profile are disabled
CRD#: 1634413
SZ

Professional summary

Susan Elizabeth Zaferos is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in Chicago, Illinois.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1988. Susan has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Susan Elizabeth Zaferos's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 18, 2021 - Present

CASTLEOAK SECURITIES, LP

Office #1: 320 W. Ohio Street Suite 336, Chicago, IL 60654
BD
CRD#: 125334
Chicago, IL
Past

July 7, 2020 - November 2, 2020

LPS CAPITAL LLC

BD
CRD#: 155246
NEW YORK, NY
Past

March 12, 2019 - May 7, 2020

CABRERA CAPITAL MARKETS, LLC

BD
CRD#: 10081
CHICAGO, IL
Past

June 16, 2015 - June 12, 2018

LOOP CAPITAL MARKETS LLC

BD
CRD#: 43098
NEW YORK, NY
Past

December 10, 2014 - June 9, 2015

R. SEELAUS & CO., LLC

BD
CRD#: 14974
CHATHAM, NJ
Past

November 10, 2000 - April 2, 2014

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

September 4, 1990 - November 8, 2000

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

April 19, 1988 - September 4, 1990

BLUNT ELLIS & LOEWI INCORPORATED

BD
CRD#: 7580

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Illinois
(10/27/2021)
RR
New York
(8/18/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/12/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/15/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CS
CASTLEOAK SECURITIES, LP
BGC MARKETS, L.P. | GOLDROCK GROUP LLC | CASTLEOAK SECURITIES, LP

CRD#: 125334 / SEC#: , 8-65786

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
200 Vesey Street Fl 04, New York, NY 10281
Mailing Address
200 Vesey St Fl 04, New York, NY 10281
Phone number
(646) 521-6700
Established
Delaware since 07/01/2004
Firm type
Partnership
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
JONES, DAVID RODERICKCHIEF EXECUTIVE OFFICER2389684
CASTLEOAK MANAGEMENT, LLCGENERAL PARTNER
GOMEZ, LUIS JFINOP AND PRINCIPAL FINANCIAL OFFICER4974439
IPPOLITO, PHILIPCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER1072137
SKINNER, JEFFREY THOMASSENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER4078336

Disclosures

Regulatory Event2
Civil Event1

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

CASTLEOAK SECURITIES, LP

CRD#: 125334Chicago, IL 60654

TRUST BUT VERIFY

Monitor Susan Zaferos

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.