Irene Castillomoreno
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.
Irene Castillomoreno, who also goes by Irene Castillo, Irene Castillo-moreno, Irene Garza, Irene Moreno, was a registered financial professional .
Irene is a previously registered financial professional and started their career in finance in 1995. Irene had worked at 11 firms and has passed the Series 65, Series 63, Series 72, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2022 - January 23, 2024
EMPOWER FINANCIAL SERVICES, INC.
August 28, 2020 - August 30, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 28, 2020 - August 30, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 8, 2017 - September 1, 2020
FROST INVESTMENT SERVICES
January 30, 2009 - September 1, 2020
FROST BROKERAGE SERVICES, INC.
October 1, 2003 - January 12, 2009
WELLS FARGO INVESTMENTS, LLC
October 1, 2003 - January 12, 2009
WELLS FARGO INVESTMENTS, LLC
August 1, 2001 - October 6, 2003
CHASE INVESTMENT SERVICES CORP.
August 1, 2001 - October 6, 2003
CHASE INVESTMENT SERVICES CORP.
November 15, 2000 - July 6, 2001
BBVA COMPASS INVESTMENT SOLUTIONS, INC
March 1, 1999 - November 21, 2000
CHASE INVESTMENT SERVICES CORP.
May 6, 1998 - March 1, 1999
J.P. MORGAN SECURITIES OF TEXAS, INC.
November 18, 1997 - April 17, 1998
RAYMOND JAMES & ASSOCIATES, INC.
August 19, 1996 - April 17, 1997
WELLS FARGO SECURITIES INC.
September 18, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,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
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| 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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