Douglas Castro

ADC WEALTH MANAGEMENT

MASSAPEQUA, NY 11758

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CRD#: 2263200

Professional summary

Douglas Castro, who also goes by Douglas N/a Castro, Douglas Nmn Castro, is a registered financial advisor currently at ADC WEALTH MANAGEMENT, LLC located in Massapequa, New York.

Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Douglas has worked at 4 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Douglas N/a Castro | Douglas Nmn Castro

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) - RIA

Click below to view Douglas Castro's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

December 16, 2021 - Present

ADC WEALTH MANAGEMENT, LLC

Office #1: 30 D Broadway Suite 200, Massapequa, NY 11758

RIA

CRD#: 159083

MASSAPEQUA, NY

Past

October 19, 1993 - December 22, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

GARDEN CITY, NY

Past

May 12, 1993 - December 20, 1993

ZEUS FINANCIAL, LLC

CRD#: 18192

BOCA RATON, FL

Past

December 24, 1992 - April 12, 1993

J. GREGORY & COMPANY, INC.

CRD#: 14892

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ADC WEALTH MANAGEMENT, LLC

ADC FINANCIAL GROUP | ADC WEALTH MANAGEMENT, LLC | ADC FINANCIAL, LLC

CRD#: 159083 / SEC#: 801-75532

RIA

Registered Investment Advisory firm - (4/5/2012 Approved)

New York

Registered Investment Advisory firm - (4/17/2012 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(12/16/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/15/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/14/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 5/6/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ADC WEALTH MANAGEMENT, LLC

ADC FINANCIAL GROUP | ADC WEALTH MANAGEMENT, LLC | ADC FINANCIAL, LLC

CRD#: 159083 / SEC#: 801-75532

RIA

Registered Investment Advisory firm - (4/5/2012 Approved)

New York

Registered Investment Advisory firm - (4/17/2012 Terminated)

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Contact information

Main Address

30 D Broadway Suite 200, Massapequa, NY 11758

Mailing Address

Phone number

(516) 308-7514

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV FORM 2A (1/22/2025)

Regulatory assets under management

Total Number of Accounts	228
AUM (Assets Under Management)	$ 208,190,502

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.

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Firm Stability Insights

Douglas Castro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Douglas Castro's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

ZEUS FINANCIAL, LLC

J. GREGORY & COMPANY, INC.

Primary Firm SEC Registration

ADC WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/2021

Series 63

Date: 10/14/1992

Series 7

Date: 12/22/1992

Series 8

Date: 5/6/1996

Current Firm

ADC WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADC WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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