Joseph H. 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.
Joseph Humberto Castro, who also goes by Jose Humberto Castro, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 2 firms and has passed the Series 63 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 1997 - March 26, 1999
J. P. GIBBONS & CO., INC.
November 7, 1996 - August 8, 1997
GKN SECURITIES CORP.
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 62
Date: 7/11/1996
Corporate Securities Limited Representative ExaminationCurrent Firm
J. P. GIBBONS & CO., INC.
CRD#: 38850 / SEC#: , 8-48433
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.F. FAMILY LIMITED PARTNERSHIP | SHAREHOLDER | |
| JAM FAMILY LIMITED PARTNERSHIP | SHAREHOLDER | |
| AVILES, ALBERTO JOHN JR | CHIEF COMPLIANCE OFFICER / OPERATIONS OFFICER | 2836015 |
| BIENENSTOCK, ALEXANDER | FINOP, ASST DIRECTOR OF COMPLIANCE, VICE PRESIDENT | 3148327 |
| GIBBONS, FOSTER J | PRESIDENT, GENERAL COUNSEL | 2766670 |
| PAK, IOSIF | MANAGING DIRECTOR | 2603433 |
| SWAN, EARL JOHN III | SALES MANAGER | 440677 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 17 |
Red Flags
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