Roy L. Castillo

FRONTSIGHT WEALTH ADVISORS

Kingsport, TN 37664

Some features on this profile are disabled

CRD#: 2263430

Professional summary

Roy L Castillo, CFP®, who also goes by Roy Lawrence Castillo, is a registered financial advisor currently at FRONTSIGHT WEALTH ADVISORS, LLC located in Kingsport, Tennessee.

Roy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1992. Roy has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roy Lawrence Castillo

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.

1)RLC FINANCIAL SERVICES/ROY L. CASTILLO, CFP (SOLE PROP, DBA); TAX SERVICES; TERM, LIFE & HEALTH INSURANCE SALES; 100% OWNERSHIP; 100% TIME SPENT; ~$300K/YR COMP

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy L Castillo's 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®

CFP^®

Certified Financial Planner

Start date: 1996

Experience

Current

April 14, 2014 - Present

FRONTSIGHT WEALTH ADVISORS, LLC

Office #1: 2762 East Center Street #204, Kingsport, TN 37664

RIA

CRD#: 170049

Kingsport, TN

Past

February 26, 2008 - February 27, 2013

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

GUILFORD, CT

Past

May 28, 2004 - February 27, 2013

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

GUILFORD, CT

Past

May 8, 2003 - May 28, 2004

MAIN STREET MANAGEMENT COMPANY

CRD#: 547

BOSTON, MA

Past

October 13, 1992 - April 15, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

August 5, 1992 - September 16, 1992

SOUTH RICHMOND SECURITIES, INC.

CRD#: 14913

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

Connecticut
(11/8/2022)

IAR

New York
(11/19/2022)

IAR

Tennessee
(4/14/2014)

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: 11/19/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/24/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/4/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/12/2005

Registered Options Principal Examination

Current Firm

FRONTSIGHT WEALTH ADVISORS, LLC

CASTILLO, ROY L | SC CAPITAL ADVISORS, LLC | FRONTSIGHT WEALTH ADVISORS, LLC

CRD#: 170049 / SEC#:

Connecticut

Registered Investment Advisory firm - (10/4/2022 Approved)

New York

Registered Investment Advisory firm - (11/19/2022 Approved)

Tennessee

Registered Investment Advisory firm - (3/14/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

2762 East Center Street #204, Kingsport, TN 37664

Mailing Address

Phone number

(800) 815-5479

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	101
AUM (Assets Under Management)	$ 27,899,330

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.

Similar Advisors

Paul Neves

LPL FINANCIAL LLC

IAR

SAN DIEGO, CA

Michael Conticelli

INTERACTIVE FINANCIAL ADVISORS

IAR

Cape Coral, FL

Jonathan Vasquez Contreras

PFS INVESTMENTS INC.

Bronx, NY

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Roy L. Castillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roy L Castillo's CRS (Customer Relationship Summary).

Certified licenses

Experience

FRONTSIGHT WEALTH ADVISORS, LLC

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

MAIN STREET MANAGEMENT COMPANY

LPL FINANCIAL LLC

SOUTH RICHMOND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/2015

Series 63

Date: 8/24/1992

Series 7

Date: 8/4/1992

Series 4

Date: 5/12/2005

Current Firm

FRONTSIGHT WEALTH ADVISORS, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

FRONTSIGHT WEALTH ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors