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AC

Anthony Castella

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CRD#: 2165010
AC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Anthony Castella was a registered financial professional .

Anthony is a previously registered financial professional and started their career in finance in 2012. Anthony had worked at 5 firms and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 25, 2014 - April 28, 2017

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

August 17, 2012 - July 30, 2014

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
JERSEY CITY, NJ
Past

August 17, 2012 - July 30, 2014

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
JERSEY CITY, NJ
Past

August 17, 2012 - July 30, 2014

FIDELITY DISTRIBUTORS CORPORATION

BD
CRD#: 6848
JERSEY CITY, NJ
Past

August 17, 2012 - July 30, 2014

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JERSEY CITY, NJ

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 8/16/2012
Financial and Operations Principal Examination

Current Firm

AG
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
ALLIANZ GLOBAL INVESTORS | THOMSON MCKINNON FUND DISTRIBUTORS INC. | THOMSON INVESTOR SERVICES INC. | PIMCO FUNDS DISTRIBUTORS LLC | PIMCO FUNDS DISTRIBUTION COMPANY | PIMCO ADVISORS DISTRIBUTORS LLC | PIMCO ADVISORS DISTRIBUTION COMPANY | PA DISTRIBUTORS LLC | ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567 / SEC#: , 8-41811

BD
Terminated by SEC on 03/01/2023
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 11/20/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANZ GLOBAL INVESTORS U.S. HOLDINGS LLCSOLE MEMBER
GHANI, VISHANFINANCIAL OPERATIONS PRINCIPAL, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER7190513
OCHOCO, JONATHAN GUERREROCHIEF COMPLIANCE OFFICER6850835

Disclosures

Regulatory Event2
Civil Event2

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.

Company Information

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

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