Michael James Castaneda
Professional Summary
Michael James Castaneda, who also goes by Michael Castaneda, is a registered financial advisor currently at THE LEADERS GROUP, INC. located in Boca Raton, Florida. Michael is registered as a RR (Registered Representative) and started their career in finance in 1996. Michael has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Michael Castaneda
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
23 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
SIMPLICITY INVESTMENTS | THE LEADERS GROUP, INC. | THE LEADERS GROUP | SIMPLICITY INVESTMENTS, INC.
Contact Information
Main Address
475 Springfield Ave, Summit, NJ 07901Mailing Address
475 Springfield Ave Suite 1, Summit, NJ 07901Phone Number
(303) 797-9080Established
Delaware since 07/14/1994Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(4/1/2021)
(4/1/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Michael James Castaneda's CRS (Customer Relationship Summary).
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