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Daniel L. Castle

WINTHROP WEALTH
BOSTON, MA 02116-5168
Some features on this profile are disabled
CRD#: 1716154
DC

Professional summary

Daniel L Castle, CFP®, ChFC®, CLU®, who also goes by Daniel Lee Castle, Dan Castle, is a registered financial advisor currently at WINTHROP WEALTH located in Boston, Massachusetts.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Daniel has worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Daniel Lee Castle | Dan Castle

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.
Non-Variable Insurance - At Reported Business Location(s) - Non-Variable Insurance - Producer - Started 08/20/2019 - 80 Hours Per Month/4 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel L Castle's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2003

ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

June 18, 2019 - Present

WINTHROP WEALTH

Office #1: 321 Columbus Ave 3rd Fl, Boston, MA 02116-5168
RIA
CRD#: 288178
BOSTON, MA
Past

August 3, 2019 - November 5, 2024

LPL FINANCIAL LLC

BD
CRD#: 6413
BOSTON, MA
Past

January 3, 2005 - May 3, 2013

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

December 10, 2004 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA
CRD#: 5249
BOSTON, MA
Past

March 31, 1993 - January 24, 1994

FISCO EQUITY, INC.

BD
CRD#: 24067
Past

November 6, 1992 - March 1, 1993

THE ADVISORS GROUP, INC.

BD
CRD#: 14035
Past

February 3, 1992 - December 4, 1992

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Past

September 18, 1987 - December 31, 1990

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
Past

September 18, 1987 - December 4, 1992

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181

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".
WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS

CRD#: 288178 / SEC#: 801-110461

RIA
Registered Investment Advisory firm - (4/28/2017 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Massachusetts
(6/18/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 8/15/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/3/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/11/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/27/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/17/1987
Investment Company Products/Variable Contracts Representative Examination

Current Firm

WW
WINTHROP WEALTH
FINANCIAL PLANNING STRATEGIES, LLC | WINTHROP WEALTH MANAGEMENT | WINTHROP WEALTH | WINTHROP ADVISORY GROUP, LLC | UNIFIED WEALTH MANAGEMENT | KEEL FINANCIAL PARTNERS

CRD#: 288178 / SEC#: 801-110461

RIA
Registered Investment Advisory firm - (4/28/2017 Approved)
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Contact information

Main Address
321 Columbus Ave 3rd Fl, Boston, MA 02116-5168
Mailing Address
Phone number
(617) 530-1010
Established
Firm type
Fiscal year end
# of Employees
36

SEC notice filing (26 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

DISCLOSURE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/21/2025)
WRAP FEE BROCHURE FOR WINTHROP ADVISORY GROUP, LLC (3/20/2025)

Regulatory assets under management

Total Number of Accounts3,872
AUM (Assets Under Management)$ 2,600,886,145

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

WINTHROP WEALTH

CRD#: 288178Boston, MA 02116-5168

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