Joseph Castoire
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 Castoire, who also goes by Joseph A Castoire, Joseph Anthony Castoire, Joseph Castoire, Joseph A. Ortiz-castoire, Joseph Anthony Ortiz-castoire, Joseph Ortiz-castoire, Joseph Anthony Ortizcastoire, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 11 firms and has passed the Series 65, Series 63, SIE 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
October 16, 2018 - August 7, 2024
J.P. MORGAN SECURITIES LLC
October 9, 2018 - August 7, 2024
J.P. MORGAN SECURITIES LLC
October 18, 2017 - April 6, 2018
INTERACTIVE FINANCIAL ADVISORS
December 2, 2014 - October 3, 2017
STRATEGIC ADVISERS LLC
November 18, 2014 - October 2, 2017
FIDELITY BROKERAGE SERVICES LLC
January 3, 2011 - September 26, 2014
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - September 26, 2014
WELLS FARGO CLEARING SERVICES, LLC
December 11, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
December 11, 2009 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
June 12, 2007 - December 19, 2009
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - December 19, 2009
CITIGROUP GLOBAL MARKETS INC.
June 26, 2000 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 9, 2000 - June 16, 2000
METROPOLITAN LIFE INSURANCE COMPANY
February 9, 2000 - June 16, 2000
MSI FINANCIAL SERVICES, INC.
November 28, 1997 - October 19, 1998
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
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.
