Luis R. Castaneda
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.
Luis Roberto Castaneda was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1995. Luis had worked at 20 firms and has passed the Series 65, Series 66, Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 9, Series 27, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 30, 2025 - April 20, 2026
WELLS FARGO CLEARING SERVICES, LLC
September 29, 2025 - April 20, 2026
WELLS FARGO CLEARING SERVICES, LLC
June 17, 2014 - October 6, 2025
EAGLE STRATEGIES LLC
May 23, 2014 - October 6, 2025
NYLIFE SECURITIES LLC
October 13, 2010 - March 3, 2014
A.G.P. / ALLIANCE GLOBAL PARTNERS
September 13, 2010 - March 3, 2014
A.G.P. / ALLIANCE GLOBAL PARTNERS
May 3, 2010 - September 1, 2010
VANGUARD CAPITAL
December 14, 2009 - December 18, 2009
SECOND STREET SECURITIES, INC.
December 14, 2009 - December 18, 2009
BENEFIT FUNDING SERVICES, LLC
September 15, 2008 - October 1, 2009
HUNTER WORLD MARKETS, INC.
April 2, 2008 - September 16, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 10, 2008 - September 16, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 3, 2007 - January 3, 2008
M.L. STERN & CO., LLC.
June 12, 2006 - December 20, 2006
COUNTRYWIDE SECURITIES CORPORATION
March 23, 2004 - June 14, 2006
MORGAN STANLEY DW INC.
July 16, 2002 - June 12, 2003
LEHMAN BROTHERS INC.
April 8, 2002 - April 30, 2002
WESTPARK CAPITAL, INC.
April 26, 2000 - September 27, 2001
LEHMAN BROTHERS INC.
December 15, 1999 - April 20, 2000
FIRST FUND DISTRIBUTORS, INC.
June 19, 1998 - June 4, 1999
CITIGROUP GLOBAL MARKETS INC.
April 9, 1996 - June 3, 1998
TD AMERITRADE, INC.
August 24, 1995 - March 12, 1996
JOSEPHTHAL & CO., INC.
July 6, 1995 - August 18, 1995
CHATFIELD DEAN & CO., INC.
May 26, 1995 - July 7, 1995
INVESTORS ASSOCIATES, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 10/6/2008
Limited Representative-Equity Trader ExamSeries 8
Date: 3/18/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 183 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | ||
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
