Rene J. Castro

GREAT POINT CAPITAL LLC

Chicago, IL 60606

Some features on this profile are disabled

CRD#: 2559410

Professional summary

Rene Javier Castro is a registered financial professional currently at GREAT POINT CAPITAL LLC located in Chicago, Illinois.

Rene is registered as a RR (Registered Representative) and started their career in finance in 1994. Rene has worked at 19 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

Rene Castro is an independent insurance agent. The address is 1425 w. foothill # 125, Upland Ca. 91786. Duties include being an insurance agent for life insurance. The start date is Feb 2002. He plans to spend 25 hours per month during normal trading hours and 0 hours per month outside of normal trading hours. This is not investment related. Rene Castro is the owner of Retirement Wealth Management, his own RIA . The address is 1425 w. foothill # 125, Upland Ca. 91786. Duties include management of the RIA. The start date is Feb 2020. He plans to spend 5 hours per month during normal trading hours and 0 hours per month outside of normal trading hours. This is investment related. GREAT POINT CAPITAL; INVESTMENT REALTED; REGISTERED REPRESENTATIVE; 200 W. JACKSON BLVD, #1000, CHICAGO, IL 60606; STATE DATE: 11/2019; SPENDS APPROX. 48 HRS/MONTH DURING TRADING.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rene Javier Castro's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

November 14, 2019 - Present

GREAT POINT CAPITAL LLC

Office #1: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606Office #2: 200 West Jackson Blvd. Suite 1000, Chicago, IL 60606

CRD#: 114203

Chicago, IL

Past

October 9, 2020 - March 14, 2025

RETIREMENT WEALTH MANAGEMENT

RIA

CRD#: 310341

UPLAND, CA

Past

July 9, 2014 - October 22, 2019

CENTER STREET ADVISORS, INC.

RIA

CRD#: 169329

UPLAND, CA

Past

April 24, 2014 - October 22, 2019

CENTER STREET SECURITIES, INC.

CRD#: 26898

Upland, CA

Past

February 4, 2013 - April 22, 2014

VFG ADVISORS, INC.

RIA

CRD#: 150370

LOS ANGELES, CA

Past

February 1, 2013 - April 22, 2014

VFG SECURITIES, INC.

CRD#: 15121

UPLAND, CA

Past

August 22, 2012 - February 15, 2013

CONCORDE ASSET MANAGEMENT, LLC

RIA

CRD#: 140367

UPLAND, CA

Past

March 19, 2012 - February 15, 2013

CONCORDE INVESTMENT SERVICES, LLC

CRD#: 151604

UPLAND, CA

Past

September 28, 2010 - September 6, 2012

UNITED FINANCIAL SOLUTIONS, INC.

RIA

CRD#: 148877

UPLAND, CA

Past

April 13, 2010 - August 19, 2010

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

UPLAND, CA

Past

April 8, 2010 - August 19, 2010

CENTAURUS FINANCIAL, INC.

CRD#: 30833

UPLAND, CA

Past

January 5, 2010 - April 1, 2010

BREWER INVESTMENT ADVISORS LLC

RIA

CRD#: 134631

CHICAGO, IL

Past

January 4, 2010 - April 1, 2010

BREWER FINANCIAL SERVICES, LLC

CRD#: 132558

UPLAND, CA

Past

February 18, 2009 - January 29, 2010

UNITED FINANCIAL SOLUTIONS, INC.

RIA

CRD#: 148877

UPLAND, CA

Past

January 22, 2009 - November 11, 2009

PEAK SECURITIES CORPORATION

RIA

CRD#: 107907

UPLAND, CA

Past

June 28, 2007 - December 31, 2008

PEAK SECURITIES CORPORATION

RIA

CRD#: 107907

UPLAND, CA

Past

June 27, 2007 - November 11, 2009

PEAK SECURITIES CORPORATION

CRD#: 107907

UPLAND, CA

Past

November 8, 2004 - June 8, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

UPLAND, CA

Past

November 8, 2004 - June 8, 2007

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

UPLAND, CA

Past

August 11, 2004 - November 8, 2004

MORGAN PEABODY, INC.

CRD#: 38306

SHERMAN OAKS, CA

Past

June 13, 2003 - September 9, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

UPLAND, CA

Past

January 2, 2003 - September 9, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

July 22, 2002 - January 3, 2003

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

August 19, 2001 - November 1, 2002

LEGACY ADVISORY SERVICES, INC.

RIA

CRD#: 111027

UPLAND, CA

Past

June 12, 2001 - July 19, 2002

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

August 23, 1996 - November 4, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

December 13, 1994 - April 28, 1995

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

State Registrations and Notice Filings

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

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/14/2019)

Florida
(11/14/2019)

Idaho
(11/14/2019)

New Jersey
(12/11/2019)

Oregon
(11/14/2019)

Texas
(9/26/2022)

Utah
(9/22/2020)

Washington
(5/26/2021)

Exams

State Security Law Exam

IAR

Series 65

Date: 7/11/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/3/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/11/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/12/1994

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

GREAT POINT CAPITAL LLC

GREAT POINT CAPITAL LLC | MAVERICK BROKERAGE LLC | GREAT POINT TRADING LLC

CRD#: 114203 / SEC#: , 8-53402

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 West Jackson Blvd. Suite 1000, Chicago, IL 60606

Mailing Address

200 West Jackson Blvd. Suite 1000, Chicago, IL 60606

Phone number

(312) 356-4405

Established

Delaware since 08/17/2000

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
GREAT POINT TRADING LLC	MEMBER
DEBELL, GLENN TOWNSEND	CCO, SROP, AMLCO	2407360
MENGIN, GABRIEL J	PRESIDENT	5067401
PETERS, ROBERT WILLIAM	FINOP	1704577

Disclosures

Regulatory Event

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.

Similar Advisors

Michael Basile

COUNTRY CAPITAL MANAGEMENT COMPANY

Chicago, IL

Louis Paster

UBS FINANCIAL SERVICES INC.

IAR

Chicago, IL

Jaime Villalobos

WILLIAM BLAIR

IAR

Chicago, IL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Rene J. Castro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rene Javier Castro's CRS (Customer Relationship Summary).

Certified licenses

Experience

RETIREMENT WEALTH MANAGEMENT

CENTER STREET ADVISORS, INC.

CENTER STREET SECURITIES, INC.

VFG ADVISORS, INC.

VFG SECURITIES, INC.

CONCORDE ASSET MANAGEMENT, LLC

CONCORDE INVESTMENT SERVICES, LLC

UNITED FINANCIAL SOLUTIONS, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

BREWER INVESTMENT ADVISORS LLC

BREWER FINANCIAL SERVICES, LLC

UNITED FINANCIAL SOLUTIONS, INC.

PEAK SECURITIES CORPORATION

PEAK SECURITIES CORPORATION

PEAK SECURITIES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

MORGAN PEABODY, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

SECURITIES AMERICA, INC.

LEGACY ADVISORY SERVICES, INC.

LEGACY FINANCIAL SERVICES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 65

Date: 7/11/2001

Series 63

Date: 7/3/2001

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/11/2001

Series 6

Date: 12/12/1994

FINRA

Current Firm

GREAT POINT CAPITAL LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

GREAT POINT CAPITAL LLC

TRUST BUT VERIFY

Similar Advisors