Sheldon D. Castle
Professional summary
Sheldon Duane Castle, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Canton, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Williamsport, Pennsylvania.
Sheldon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Sheldon has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sheldon Duane Castle's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2005
Experience
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 1140 Sheridan Street, Williamsport, PA 17701June 9, 2021 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 1140 Sheridan Street, Williamsport, PA 17701June 9, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
January 13, 2014 - June 14, 2021
VOYA FINANCIAL ADVISORS, INC.
January 2, 2014 - June 9, 2021
VOYA FINANCIAL ADVISORS, INC.
October 2, 2012 - December 3, 2013
LPL FINANCIAL LLC
October 2, 2012 - December 3, 2013
LPL FINANCIAL LLC
February 10, 2003 - May 1, 2003
ALLFIRST BROKERAGE CORPORATION
October 7, 2000 - August 9, 2012
M&T SECURITIES, INC.
April 20, 2000 - October 7, 2000
KEYSTONE BROKERAGE, LLC
October 1, 1999 - April 24, 2000
IFMG SECURITIES, INC.
October 27, 1998 - October 1, 1999
MARKETING ONE SECURITIES, INC.
May 1, 1998 - October 14, 1998
FIRST UNION BROKERAGE SERVICES, INC.
July 1, 1996 - May 1, 1998
IFMG SECURITIES, INC.
March 27, 1995 - July 2, 1996
INDEPENDENT FINANCIAL SECURITIES, INC.
May 18, 1988 - October 29, 1988
METROPOLITAN LIFE INSURANCE COMPANY
May 18, 1988 - October 29, 1988
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
Current Firm
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644 / SEC#: 801-20406
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 |
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.
