Michael R. Castillo
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.
Michael Ray Castillo was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 18, 2015 - August 17, 2016
NEXT FINANCIAL GROUP, INC.
March 17, 2015 - August 17, 2016
NEXT FINANCIAL GROUP, INC.
September 16, 2011 - March 6, 2015
ESSEX NATIONAL SECURITIES, LLC
September 15, 2011 - March 6, 2015
ESSEX NATIONAL SECURITIES, LLC
February 1, 2011 - September 12, 2011
LUCIA CAPITAL GROUP
February 1, 2011 - September 12, 2011
LUCIA SECURITIES, LLC
January 28, 2011 - September 13, 2011
FIRST ALLIED SECURITIES, INC.
March 16, 2009 - December 8, 2009
ARROWHEAD INVESTMENT CENTER, LLC
March 11, 2009 - July 25, 2009
INTEGRITY PLANNERS INC.
May 1, 2007 - December 8, 2009
ARROWHEAD INVESTMENT CENTER, LLC
March 29, 2006 - October 26, 2006
INDIEVEST SECURITIES, INC.
June 3, 2002 - December 5, 2005
UBS INTERNATIONAL INC.
March 4, 2002 - June 3, 2002
UBS FINANCIAL SERVICES INC.
July 26, 1999 - February 20, 2001
WEB STREET SECURITIES, INC.
December 18, 1997 - February 18, 1998
IDS LIFE INSURANCE COMPANY
December 18, 1997 - February 18, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
Current Firm
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
