Sharon M. Castro

NUVEEN SECURITIES

Los Angeles, CA 90067

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CRD#: 1927149

Professional summary

Sharon Marie Castro is a registered financial professional currently at NUVEEN SECURITIES, LLC located in Los Angeles, California.

Sharon is registered as a RR (Registered Representative) and started their career in finance in 1996. Sharon has worked at 7 firms and has passed the Series 65, Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Sharon Marie Castro'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®

None

Experience

Current

February 5, 2009 - Present

NUVEEN SECURITIES, LLC

Office #1: 2029 Century Park East 16th Floor, Los Angeles, CA 90067

CRD#: 469

Los Angeles, CA

Past

January 7, 2009 - December 31, 2021

NWQ INVESTMENT MANAGEMENT COMPANY, LLC

RIA

CRD#: 121876

LOS ANGELES, CA

Past

June 21, 2005 - February 2, 2007

ROXBURY CAPITAL MANAGEMENT LLC

RIA

CRD#: 108832

SANTA MONICA, CA

Past

January 3, 2005 - February 2, 2007

FORESIDE DISTRIBUTION SOLUTIONS, LLC

CRD#: 118787

SANTA MONICA, CA

Past

June 8, 2001 - December 31, 2004

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

April 28, 1998 - July 7, 1999

GLOBAL CAPITAL SECURITIES CORPORATION

CRD#: 16184

ENGLEWOOD, CO

Past

July 9, 1996 - April 14, 1997

CIBC WOOD GUNDY SECURITIES CORP.

CRD#: 3801

NEW YORK, NY

State Registrations and Notice Filings

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

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

California
(2/5/2009)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/6/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/8/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/21/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NUVEEN SECURITIES, LLC

JOHN NUVEEN & CO., INCORPORATED | NUVEEN SECURITIES, LLC | NUVEEN SECURITIES - USED ON SALES AND MARKETING LITERATURE | NUVEEN INVESTMENTS, LLC | NUVEEN INVESTMENTS

CRD#: 469 / SEC#: , 8-13464

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

333 West Wacker Drive, Chicago, IL 60606-1286

Mailing Address

333 West Wacker Drive, Chicago, IL 60606-1286

Phone number

(312) 917-7700

Established

Delaware since 09/07/1967

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NUVEEN INVESTMENTS, INC.	MANAGING MEMBER
CARLIN, JEFFREY DENNIS	CHIEF EXECUTIVE OFFICER	2684780
MANGANO, JENNIFER LYNN	CHIEF FINANCIAL OFFICER	7659359
SATRE, LUCAS ARTHUR	GENERAL COUNSEL	2208099
SMITH, SHANITA SPIVEY	CHIEF COMPLIANCE OFFICER	5174146

Disclosures

Regulatory Event	7
Civil Event	2
Arbitration	1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Sharon M. Castro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sharon Marie Castro's CRS (Customer Relationship Summary).

Certified licenses

Experience

NWQ INVESTMENT MANAGEMENT COMPANY, LLC

ROXBURY CAPITAL MANAGEMENT LLC

FORESIDE DISTRIBUTION SOLUTIONS, LLC

FORESIDE FUNDS DISTRIBUTORS LLC

GLOBAL CAPITAL SECURITIES CORPORATION

CIBC WOOD GUNDY SECURITIES CORP.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/6/2001

Series 63

Date: 10/30/1996

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/8/1996

Series 24

Date: 8/21/1998

FINRA

Current Firm

NUVEEN SECURITIES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NUVEEN SECURITIES, LLC

TRUST BUT VERIFY

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