Winston M. 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.
Winston Mauricio Castro, who also goes by Winston M Castro, was a registered financial professional .
Winston is a previously registered financial professional and started their career in finance in 1997. Winston had worked at 4 firms and has passed the Series 63, SIE, Series 99 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2014 - May 29, 2024
MARIVA CAPITAL MARKETS, LLC
July 24, 2012 - August 2, 2012
VECTORGLOBAL WMG
August 3, 1998 - November 19, 2001
BBVA SECURITIES INC.
May 21, 1997 - December 2, 1997
BBV SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
MARIVA CAPITAL MARKETS, LLC
CRD#: 156171 / SEC#: , 8-68774
Contact information
FINRA licenses (11 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
