George Alberto Castillo
Professional Summary
George Alberto Castillo, who also goes by George A Castillo, is a registered financial advisor currently at GLENDALE SECURITIES, INC. located in Sherman Oaks, California and SPARTAN CAPITAL SECURITIES, LLC located in New York, New York. George is registered as a RR (Registered Representative) and started their career in finance in 1993. George has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 4...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
George A Castillo
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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MORGAN STANLEY
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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MORGAN STANLEY
MORGAN STANLEY
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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MORGAN STANLEY
MORGAN STANLEY
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Current Firm
SPARTAN CAPITAL MANAGEMENT LLC | SPARTAN CAPITAL SECURITIES, LLC
Contact Information
Main Address
45 Broadway 19th Floor, New York, NY 10006Mailing Address
45 Broadway 19th Floor, New York, NY 10006Phone Number
(212) 293-0123Established
New York since 06/26/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SPARTAN CAPITAL HOLDINGS, LLC | OWNER | — |
| BASIS, THEOLOGOS STAVROS | CHIEF COMPLIANCE OFFICER / AML OFFICER | 2574740 |
| DACOSTA, MAURICE MICHAEL | CFO / FINOP | 5500926 |
| FLESCHE, PAUL ERIC | PRESIDENT | 3277904 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| NELSON, MITCHEL RAY | NY BRANCH MANAGER / CHIEF SUPERVISORY OFFICER | 1191908 |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
Regulatory Event
11Civil Event
1Arbitration
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MORGAN STANLEY
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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.
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MORGAN STANLEY
MORGAN STANLEY
J.P. MORGAN SECURITIES LLC
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State Registrations and Notice Filings
(9/10/2010)
(9/1/2010)
(4/25/2007)
(8/31/2010)
(9/30/2005)
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(9/13/2016)
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(11/29/2005)
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(9/13/2016)
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(8/31/2010)
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(9/13/2016)
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(3/17/2006)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Feb 2000SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view George Alberto Castillo's CRS (Customer Relationship Summary).
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