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LD

Luis J. Del Castillo

Some features on this profile are disabled
CRD#: 2379491
LD

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.

Luis Javier Del Castillo, who also goes by Lou Castle, Luis Javier Castle, Luis Javier Delcastillo II, Luis Javier Delcastillo, was a registered financial professional .

Luis is a previously registered financial professional and started their career in finance in 1995. Luis had worked at 11 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lou Castle | Luis Javier Castle | Luis Javier Delcastillo Ii | Luis Javier Delcastillo

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 9, 2004 - July 19, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

June 10, 2004 - July 2, 2004

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

September 25, 2003 - January 22, 2004

LH ROSS & COMPANY, INC.

BD
CRD#: 37920
BOCA RATON, FL
Past

August 22, 2001 - August 29, 2003

STERLING FINANCIAL INVESTMENT GROUP, INC.

BD
CRD#: 41506
BOCA RATON, FL
Past

December 2, 1999 - August 22, 2001

EMERSON BENNETT & ASSOCIATES

BD
CRD#: 36171
FT. LAUDERDALE, FL
Past

March 2, 1998 - December 7, 1999

PREFERRED SECURITIES GROUP, INC.

BD
CRD#: 35704
BOCA RATON, FL
Past

March 12, 1997 - January 29, 1998

NICHOLS, SAFINA, LERNER & CO. INC.

BD
CRD#: 35476
NEW YORK, NY
Past

October 17, 1996 - November 6, 1996

ARGENT SECURITIES, INC.

BD
CRD#: 15297
ATLANTA, GA
Past

October 12, 1995 - August 19, 1996

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

April 19, 1995 - February 8, 1996

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

April 6, 1995 - June 13, 1995

JOSEPH CHARLES & ASSOC., INC.

BD
CRD#: 3949
BOCA RATON, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/13/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/5/1995
General Securities Representative Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

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.

Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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