Michael J. Castillo
Professional summary
Michael James Castillo, who also goes by Michael Castillo, is a registered financial advisor currently at KEY INVESTMENT SERVICES LLC located in Denver, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Michael has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Castillo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael James Castillo's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2022 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1675 Broadway, Denver, CO 80202July 21, 2022 - Present
KEY INVESTMENT SERVICES LLC
Office #1: 1675 Broadway, Denver, CO 80202October 4, 2016 - June 28, 2022
U.S. BANCORP INVESTMENTS, INC.
October 4, 2016 - June 28, 2022
U.S. BANCORP INVESTMENTS, INC.
July 13, 2010 - October 13, 2016
STRATEGIC ADVISERS LLC
July 1, 2010 - October 12, 2016
FIDELITY BROKERAGE SERVICES LLC
December 17, 2007 - December 31, 2009
NORTHERN TRUST SECURITIES, INC.
December 17, 2007 - May 10, 2010
NORTHERN TRUST SECURITIES, INC.
May 31, 2005 - December 7, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 17, 2005 - December 7, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 8, 1997 - July 11, 2005
STRATEGIC ADVISERS LLC
June 2, 1992 - August 27, 2003
FIDELITY BROKERAGE SERVICES LLC
November 29, 1990 - June 2, 1992
CAPITAL BROKERAGE CORPORATION
March 21, 1989 - November 14, 1990
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/21/2022)
(7/21/2022)
(7/26/2022)
(7/22/2022)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 11/22/1995
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
Current Firm
KEY INVESTMENT SERVICES LLC
CRD#: 136300 / SEC#: 801-65060, 8-66999
Contact information
SEC notice filing (44 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KEYBANC CAPITAL MARKETS INC. | SOLE OWNER | 566 |
| CALABRESE, GIUSEPPE NMN | CO-CEO/PRESIDENT | 5013231 |
| DOUCE, MARK IVAN | CHIEF COMPLIANCE OFFICER | 2959137 |
| GULLA, MATTHEW TODD | CHIEF ADMINISTRATIVE OFFICER | 3040637 |
| HOTZ, BURTON BRUCE NICHOLAS | CHIEF RISK OFFICER | 3025138 |
| JANOFSKY, PAULA MARIE | OPERATIONS OFFICER | 2882776 |
| KOVACHICK, MARK ALLAN | CHIEF FINANCIAL OFFICER/DIRECTOR | 5390571 |
| SCHMIDT, SOLOMON LEE | CO-CEO/PRESIDENT | 4404279 |
| SKARDA, JOSEPH BRIEL | HEAD OF KEY WEALTH MANAGEMENT | 4288186 |
| THEBERGE, JONATHAN MARC | CHIEF OPERATIONS OFFICER | 7722891 |
| WEICK, PAUL ALFRED II | CHIEF LEGAL OFFICER | 2286289 |
Regulatory assets under management
| Total Number of Accounts | 27,533 |
| AUM (Assets Under Management) | $ 6,107,213,206 |
Disclosures
| Regulatory Event | 4 |
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.
