Shayan Norasteh
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.
Shayan Norasteh was a registered financial professional .
Shayan is a previously registered financial professional and started their career in finance in 1994. Shayan had worked at 8 firms and has passed the Series 63, Series 3 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
June 4, 2013 - May 2, 2014
STONECASTLE SECURITIES, LLC
June 3, 2010 - December 1, 2011
BNP PARIBAS SECURITIES CORP.
April 10, 2009 - April 21, 2010
LEDGEMONT CAPITAL MARKETS LLC
December 1, 2000 - May 27, 2008
UBS SECURITIES LLC
December 5, 1995 - December 1, 2000
UBS FINANCIAL SERVICES INC.
March 15, 1995 - August 11, 1995
SANWA UNIVERSAL SECURITIES CO., LLC
March 15, 1995 - August 11, 1995
SANWA SECURITIES (USA) CO., L.P.
July 27, 1994 - February 13, 1995
KIDDER, PEABODY & CO. INCORPORATED
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
STONECASTLE SECURITIES, LLC
CRD#: 131211 / SEC#: , 8-66434
Contact information
FINRA licenses (7 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONECASTLE PARTNERS, LLC | SOLE MEMBER | |
| HOLMEN, ROBERT CHRISTOPHER | PRESIDENT, CCO | 2919060 |
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.
