George A. Castillo
Professional summary
George Alberto Castillo, who also goes by George A Castillo, is a registered financial professional 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 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view George Alberto Castillo's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2005 - Present
GLENDALE SECURITIES, INC.
Office #1: 15233 Ventura Blvd., Suite 712, Sherman Oaks, CA 91403June 19, 2026 - Present
SPARTAN CAPITAL SECURITIES, LLC
Office #1: 45 Broadway 19th Floor, New York, NY 10006November 16, 2016 - February 10, 2017
VELOX SECURITIES, INC.
January 14, 2011 - June 8, 2017
MUNDIAL FINANCIAL GROUP, LLC
January 21, 2005 - November 16, 2005
COMPUTER CLEARING SERVICES INC
January 10, 1994 - January 12, 2005
NATIONAL CLEARING CORP.
August 20, 1993 - December 31, 1993
REYNOLDS KENDRICK STRATTON, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/10/2010)
(9/1/2010)
(4/25/2007)
(8/31/2010)
(9/30/2005)
(9/1/2010)
(9/7/2010)
(4/16/2015)
(3/18/2008)
(9/1/2010)
(2/17/2015)
(8/31/2010)
(6/9/2008)
(3/20/2007)
(8/31/2010)
(8/31/2010)
(9/16/2010)
(9/13/2016)
(9/2/2010)
(11/29/2005)
(12/13/2005)
(9/2/2010)
(9/8/2010)
(9/1/2010)
(8/31/2010)
(9/3/2010)
(9/13/2016)
(9/8/2010)
(8/31/2010)
(9/1/2010)
(9/1/2010)
(9/3/2010)
(9/10/2010)
(8/31/2010)
(9/1/2010)
(9/13/2016)
(9/2/2010)
(8/31/2010)
(9/2/2010)
(8/31/2010)
(3/17/2006)
(9/1/2010)
(8/31/2010)
(8/31/2010)
(8/31/2010)
(8/31/2010)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/16/2000
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE Arca, Inc.
Nasdaq Stock Market
Current Firm
SPARTAN CAPITAL SECURITIES, LLC
CRD#: 146251 / SEC#: , 8-67801
Contact information
FINRA licenses (53 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 |
| HEILPERN, GERALD MARTIN | MUNICIPAL SECURITIES PRINCIPAL | 241803 |
| LOWRY, JOHN DENNIS | CEO/MANAGING MEMBER | 4336146 |
| MONCHIK, KIM MARIE | CAO | |
| SNOOZY, MARK JAMES | ROSFP | 2822325 |
Disclosures
| Regulatory Event | 10 |
| Civil Event | 1 |
| Arbitration | 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.
