Gaudencio L. Castro
Professional summary
Gaudencio Luis Castro, who also goes by Gaudencio Luis Castro Jr, Gaudencio Castro Jr, Gaudencio L Castro, is a registered financial professional currently at INSIGNEO SECURITIES, LLC located in Miami, Florida.
Gaudencio is registered as a RR (Registered Representative) and started their career in finance in 1993. Gaudencio has worked at 9 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gaudencio Luis Castro's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 5, 2026 - Present
INSIGNEO SECURITIES, LLC
Office #1: 1221 Brickell Ave 27th Floor, Miami, FL 33131March 3, 2025 - June 2, 2026
VECTORGLOBAL WMG
October 6, 2017 - May 7, 2021
BBVA SECURITIES INC.
December 3, 2012 - September 22, 2017
VECTORGLOBAL WMG
August 1, 2011 - September 6, 2012
HORNOR, TOWNSEND & KENT, LLC
September 25, 2009 - July 7, 2011
MORGAN STANLEY
June 8, 2009 - July 7, 2011
MORGAN STANLEY
April 2, 2009 - June 11, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 18, 2003 - December 31, 2008
EQUITY SERVICES, INC.
November 5, 1993 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 8, 1993 - October 22, 2003
EQUITABLE ADVISORS, LLC
September 1, 1993 - October 22, 2003
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
(6/5/2026)
Exams
Series 7TO
Date: 2/23/2024
General Securities Representative ExaminationFINRA
Current Firm
INSIGNEO SECURITIES, LLC
CRD#: 29249 / SEC#: , 8-44166
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL GROUP LLC | MEMBER - CLASS A | |
| INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| ARANA LANDAETA, MARIELA CECILIA | HEAD OF CLIENT EXPERIENCE | 4830220 |
| ARNETT, GEORGE WASHINGTON III | GENERAL COUNSEL AND DIRECTOR | 1057806 |
| AVERETT, MICHAEL ROBERT | CHIEF REVENUE OFFICER | 5311774 |
| CANINO QUINONES, LIZMARI | HEAD OF SALES SUPERVISION | 6007866 |
| CAULFIELD, JUSTIN PAUL SR | CHIEF COMPLIANCE OFFICER | 5699024 |
| CEDENO, CLAUDIA | BSA | AML OFFICER | 5235772 |
| CHUANG, ERIC C | REGULATORY AFFAIRS OFFICER | 3215724 |
| EFFIO, TAMARIND | BUSINESS DEVELOPMENT OFFICER | 7255243 |
| HENRIQUEZ, RAUL JR | CHAIRMAN OF THE BOARD | 1647412 |
| NUNEZ, FRANCISCO | DIRECTOR | 8017439 |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIESGO, AHMED | CHIEF INVESTMENT OFFICER | 5020318 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR | 4498023 |
| WATSON, CHRISTIAN PIERCE | HEAD OF TRADING | 4917370 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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