Chris Castro
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.
Chris Castro was a registered financial professional .
Chris is a previously registered financial professional and started their career in finance in 1995. Chris had worked at 22 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2022 - March 4, 2025
B. RILEY WEALTH MANAGEMENT
December 9, 2020 - March 4, 2025
B. RILEY WEALTH ADVISORS, INC.
October 20, 2020 - July 22, 2022
NATIONAL SECURITIES CORPORATION
March 6, 2018 - October 23, 2018
CETERA INVESTMENT ADVISERS LLC
March 2, 2018 - October 23, 2018
CETERA INVESTMENT SERVICES LLC
July 29, 2016 - August 16, 2017
SECURITIES AMERICA ADVISORS, INC.
July 19, 2016 - August 16, 2017
SECURITIES AMERICA, INC.
July 1, 2015 - June 2, 2016
CUNA BROKERAGE SERVICES, INC.
June 29, 2015 - June 2, 2016
CUNA BROKERAGE SERVICES, INC.
January 6, 2012 - June 22, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - June 22, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 8, 2008 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
February 25, 2008 - January 6, 2012
WORLD GROUP SECURITIES, INC.
August 16, 2007 - January 8, 2008
CHASE INVESTMENT SERVICES CORP.
August 16, 2007 - January 8, 2008
CHASE INVESTMENT SERVICES CORP.
May 31, 2007 - August 6, 2007
BROKERSXPRESS LLC
November 16, 2006 - May 21, 2007
CUSO FINANCIAL SERVICES, L.P.
September 14, 2006 - May 21, 2007
CUSO FINANCIAL SERVICES, L.P.
February 11, 2006 - September 14, 2006
GUARANTY BROKERAGE SERVICES, INC.
October 28, 2002 - March 29, 2005
ADAMSON BROTHERS INC.
July 17, 2000 - October 25, 2000
UBS SECURITIES LLC
February 17, 1998 - July 17, 2000
BNY MELLON SECURITIES CORPORATION
November 12, 1997 - February 13, 1998
INSTITUTIONAL EQUITY CORPORATION
December 6, 1996 - February 4, 1997
HEROLD & LANTERN INVESTMENTS, INC.
September 14, 1996 - December 6, 1996
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 17, 1996 - September 4, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 28, 1995 - April 9, 1996
INSTITUTIONAL EQUITY CORPORATION
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: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 9/2/2003
Limited Representative-Equity Trader ExamCurrent Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
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.
