Nicholas D. Castellano

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CRD#: 2718649

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.

Nicholas Daniel Castellano, who also goes by Nicholas Daniel Castellano, Nicholas D Castellano, Nick D Castellano, Nick Castellano, was a registered financial professional .

Nicholas is a previously registered financial professional and started their career in finance in 1996. Nicholas had worked at 15 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Nicholas Daniel Castellano | Nicholas D Castellano | Nick D Castellano | Nick Castellano

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.

Insurance Agent, investment related, 1515 S Federal Hwy #302 Boca Raton FL 33432, sale of insurance products and services to clients as needed, 10/2022, approx 80 hours per month, approx 20 hours during trading hours - needs analysis, provide pricing, servicing as needed

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 29, 2025 - August 7, 2025

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Coconut Creek, FL

Past

January 31, 2025 - March 19, 2025

SINGER WEALTH ADVISORS LLC

RIA

CRD#: 317218

BOCA RATON, FL

Past

September 29, 2020 - January 2, 2025

PFS INVESTMENTS INC.

RIA

CRD#: 10111

FORT LAUDERDALE, FL

Past

September 14, 2020 - January 2, 2025

PFS INVESTMENTS INC.

CRD#: 10111

FORT LAUDERDALE, FL

Past

May 21, 2018 - January 10, 2019

MORGAN STANLEY

RIA

CRD#: 149777

FT. LAUDERDALE, FL

Past

May 14, 2018 - January 10, 2019

MORGAN STANLEY

CRD#: 149777

FT. LAUDERDALE, FL

Past

March 6, 2017 - August 21, 2017

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

March 6, 2017 - August 21, 2017

SCOTTRADE, INC.

CRD#: 8206

MURRIETA, CA

Past

May 26, 2016 - September 23, 2016

PACIFIC WEALTH MANAGEMENT

RIA

CRD#: 113217

SAN DIEGO, CA

Past

March 17, 2016 - September 24, 2016

GIRARD SECURITIES, INC.

CRD#: 18697

SAN DIEGO, CA

Past

May 13, 2008 - September 25, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CORONA, CA

Past

February 27, 2008 - September 25, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CORONA, CA

Past

July 15, 2002 - November 18, 2003

FRANKLIN NATIONAL FINANCIAL GROUP, LLC

CRD#: 103841

BOCA RATON, FL

Past

June 1, 1998 - August 9, 2000

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 29, 1998 - August 9, 2000

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 12, 1998 - February 26, 1998

GKN SECURITIES CORP.

CRD#: 19415

NEW YORK, NY

Past

July 24, 1997 - October 22, 1997

COLEMAN & COMPANY SECURITIES, INC.

CRD#: 1486

NEW YORK, NY

Past

October 24, 1996 - July 9, 1997

ARGENT SECURITIES, INC.

CRD#: 15297

ATLANTA, GA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/24/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/3/2016

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/25/2008

General Securities Representative Examination

Current Firm

AE WEALTH MANAGEMENT, LLC

CRD#: 282580 / SEC#: 801-107319

RIA

Registered Investment Advisory firm - (2/17/2016 Approved)

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Contact information

Main Address

2950 Sw Mcclure Road Suite B, Topeka, KS 66614

Mailing Address

Phone number

(866) 363-9595

Established

Firm type

Fiscal year end

# of Employees

602

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A APPENDIX 1 (10/1/2025)

FORM ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	111,059
AUM (Assets Under Management)	$ 37,525,706,084

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.

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Advisor Monitoring

Firm Stability Insights

Nicholas D. Castellano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SINGER WEALTH ADVISORS LLC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

MORGAN STANLEY

MORGAN STANLEY

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

PACIFIC WEALTH MANAGEMENT

GIRARD SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FRANKLIN NATIONAL FINANCIAL GROUP, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

GKN SECURITIES CORP.

COLEMAN & COMPANY SECURITIES, INC.

ARGENT SECURITIES, INC.

Primary Firm SEC Registration

AE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/24/2016

Series 65

Date: 5/3/2016

SIE

Date: 10/1/2018

Series 7

Date: 9/25/2008

Current Firm

AE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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