Michael P. Castellano
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.
Michael Paul Castellano, who also goes by Michael P Castellano, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1993. Michael had worked at 10 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2024 - June 19, 2024
FIDELITY BROKERAGE SERVICES LLC
March 22, 2018 - November 1, 2023
BNP PARIBAS SECURITIES CORP.
August 21, 2009 - August 5, 2015
BNP PARIBAS SECURITIES CORP.
August 19, 2008 - July 19, 2018
BNP PARIBAS PRIME BROKERAGE, INC.
March 7, 2006 - October 1, 2008
BANC OF AMERICA SECURITIES LLC
January 14, 2005 - March 6, 2006
FORTIS SECURITIES LLC
December 18, 2003 - March 30, 2004
COMMERZ MARKETS LLC
November 15, 2002 - December 19, 2003
BANC OF AMERICA SECURITIES LLC
February 1, 2001 - November 1, 2002
COWEN AND COMPANY
December 5, 1997 - March 7, 2001
DEUTSCHE BANK SECURITIES INC.
June 18, 1997 - September 2, 1997
NEUBERGER BERMAN BD LLC
June 25, 1993 - July 2, 1997
NATIONAL FINANCIAL SERVICES LLC
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 52TO
Date: 4/2/2024
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/3/2002
Limited Representative-Equity Trader ExamCurrent Firm
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MAHNA, ROHIT | HEAD OF CLIENT GROWTH | 4078386 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 124 |
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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