RC
Robert A. Castiglione
WNY ASSET MANAGEMENT
Williamsville, NY 14221
Some features on this profile are disabled
CRD#: 2909739
RC
Professional summary
Robert A. Castiglione II, CFP®, who also goes by Robert A Castiglione II, Robert A. (mi Only) Castiglione Ii, is a registered financial advisor currently at WNY ASSET MANAGEMENT, LLC located in Williamsville, New York and LPL FINANCIAL LLC located in Williamsville, New York.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Robert has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert A Castiglione Ii | Robert A. (mi Only) Castiglione Ii
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.
1- 07/2025 - WNY Tax Planners - Tax Prep/Accounting/CPA - Partner - Investment Related - At Reported Business Location(s) - Start Date 01/01/2024 - 2 hours per month/ 0 hours during trading 2- 07/2025 - Specific Solutions - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 02/09/2014 - 1 hour per month/ 0 hours during trading 3- 07/2025 - WNY Asset Management - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 02/09/2014 - 0 hours per month/ 0 hours during trading - I provide investment advisory services through WNY Asset Management, an independent investment advisor firm. I started this business activity in 2/2014. I expect to spend approximately 1 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Robert A. Castiglione II's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
December 13, 2010 - Present
WNY ASSET MANAGEMENT, LLC
Office #1: 6500 Sheridan Drive, Suite 200, Williamsville, NY 14221RIA
CRD#: 153872
Williamsville, NY
Current
July 10, 2025 - Present
LPL FINANCIAL LLC
Office #1: 6500 Sheridan Drive, Suite 200 Sheridan Meadows Corp Pkwy-n, Williamsville, NY 14221RIA
BD
CRD#: 6413
WILLIAMSVILLE, NY
Past
February 11, 2004 - July 10, 2025
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
WILLIAMSVILLE, NY
Past
March 3, 2003 - March 2, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
BOLINGBROOK, IL
Past
November 18, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
BD
CRD#: 33848
MONTEBELLO, NY
Past
March 24, 1998 - September 20, 2001
M&T SECURITIES, INC.
BD
CRD#: 17358
BALTIMORE, MD
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".
WA
WNY ASSET MANAGEMENT, LLC
SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC
CRD#: 153872 / SEC#: 801-71632
RIA
Registered Investment Advisory firm - (7/9/2010 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/10/2025)
RR
Alaska(7/10/2025)
RR
Arizona(7/10/2025)
RR
California(7/10/2025)
RR
Colorado(7/10/2025)
RR
Connecticut(7/10/2025)
RR
Delaware(7/10/2025)
RR
District of Columbia(7/10/2025)
RR
Florida(7/10/2025)
RR
Georgia(7/10/2025)
RR
Illinois(7/10/2025)
RR
Indiana(7/10/2025)
RR
Louisiana(7/10/2025)
RR
Maryland(7/10/2025)
RR
Massachusetts(7/10/2025)
RR
Michigan(7/10/2025)
RR
Mississippi(7/10/2025)
RR
Missouri(7/10/2025)
RR
Nevada(7/10/2025)
RR
New Hampshire(7/10/2025)
RR
New Jersey(7/10/2025)
RR
New Mexico(7/10/2025)
IAR
New York(6/30/2021)
RR
New York(7/10/2025)
RR
North Carolina(7/10/2025)
RR
Ohio(7/10/2025)
RR
Oklahoma(7/10/2025)
RR
Oregon(7/10/2025)
RR
Pennsylvania(7/10/2025)
RR
Rhode Island(7/10/2025)
RR
South Carolina(7/10/2025)
RR
Tennessee(7/10/2025)
IAR
Texas(12/13/2010)
RR
Texas(7/10/2025)
RR
Utah(7/10/2025)
RR
Vermont(7/10/2025)
RR
Virginia(7/10/2025)
RR
Washington(7/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/1/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
WA
WNY ASSET MANAGEMENT, LLC
SPECTRUM WEALTH MANAGEMENT | WNY ASSET MANAGEMENT, LLC
CRD#: 153872 / SEC#: 801-71632
RIA
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Contact information
Main Address
6500 Sheridan Drive, Suite 200, Williamsville, NY 14221
Mailing Address
Phone number
(716) 626-0060
Established
Firm type
Fiscal year end
# of Employees
39
SEC notice filing (22 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 6,673 |
| AUM (Assets Under Management) | $ 1,450,691,313 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
WNY ASSET MANAGEMENT, LLC
CRD#: 153872Williamsville, NY 14221TRUST BUT VERIFY
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