Samuel Q. Castle
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.
Samuel Quentin Castle II/JR, who also goes by Samuel Quentin Castle Jr, Skip Castle Jr, was a registered financial professional .
Samuel is a previously registered financial professional and started their career in finance in 1992. Samuel had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2013 - May 4, 2022
POLAR INVESTMENT COUNSEL, INC.
September 9, 2013 - September 26, 2014
POLAR INVESTMENT COUNSEL, INC.
March 5, 2009 - August 31, 2011
LPL FINANCIAL LLC
March 5, 2009 - August 31, 2011
LPL FINANCIAL LLC
September 27, 2007 - January 9, 2009
MORGAN KEEGAN & COMPANY, LLC
August 2, 2002 - January 9, 2009
MORGAN KEEGAN & COMPANY, LLC
August 14, 2000 - August 13, 2002
UBS FINANCIAL SERVICES INC.
August 20, 1992 - August 14, 2000
J.C. BRADFORD & CO.
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
Current Firm
POLAR INVESTMENT COUNSEL, INC.
CRD#: 42847 / SEC#: 801-64516, 8-50039
Contact information
FINRA licenses (24 States and Territories)
Disclosures
| Regulatory Event | 2 |
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.
