Elena Castor
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.
Elena Castor was a registered financial professional .
Elena is a previously registered financial professional and started their career in finance in 1993. Elena had worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2018 - January 17, 2019
KESTRA INVESTMENT SERVICES, LLC
October 8, 2014 - October 17, 2016
LION STREET FINANCIAL, LLC
May 19, 2011 - October 9, 2012
JOHN HANCOCK DISTRIBUTORS LLC
November 17, 2006 - December 12, 2007
OGILVIE SECURITY ADVISORS CORPORATION
February 2, 2005 - November 3, 2006
LARIMER CAPITAL CORPORATION
September 9, 2003 - November 3, 2004
MUTUAL SERVICE CORPORATION
March 6, 2000 - February 7, 2003
EQUITABLE DISTRIBUTORS, LLC
March 1, 1996 - July 19, 1996
MML INVESTORS SERVICES, LLC
May 31, 1995 - March 1, 1996
G. R. PHELPS & CO., INC.
November 17, 1993 - March 16, 1995
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
November 17, 1993 - March 16, 1995
EQUITABLE ADVISORS, 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
Current Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 2 |
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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