AC
Arthur A. Castro
J. W. COLE ADVISORS
Orange, CA 92869
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CRD#: 2997776
AC
Professional summary
Arthur Alexander Castro, who also goes by Artie Castro, is a registered financial advisor currently at J. W. COLE ADVISORS, INC. located in Orange, California and J.W. COLE FINANCIAL, INC. located in Orange, California.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Arthur has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Artie Castro
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) ARTHUR CASTRO INSURANCE AGENT; NOT INVESTMENT RELATED; BRANCH OFFICE ADDRESS; INSURANCE SALES; SALES AGENT; SINCE 2003; 10 HRS/MONTH; NONE DURING SECURITIES TRADING HOURS; ONLY DUTIES ARE AS APPOINTED SALES AGENT. (2) PROFESSIONAL SKI INSTRUCTORS OF AMERICA (PSIA) /AMERICAN ASSOCIATION OF SNOWBOARD INSTRUCTORS (AASI) GIVING CLINICS AND EXAMS ON WEEKENDS DURING THE WINTER MONTHS. (3) MEMBER OF THE BOARD OF DIRECTORS OF COWAN HILLS HOMEOWNERS ASSOCIATION SERVING AS PRESIDENT NON-COMPENSATED POSITION DURING NON MARKET HOURS. (4) SUMMIT AND SURF WEALTH MANAGEMENT; DBA FOR SECURITIES BUSINESS. (5) Big Bear Mountain Resort; Not investment related; 8800 Summit Blvd, Suite A, Big Bear Lake, CA 92315; Snowsports Instructor Trainer; Start 1/6/24; 10 hours/month during trading hours. (6) Summit & Surf Management, Inc; S-Corp for business for tax purposes; 7429 E White Oak Ridge, Orange, CA 92869; President; Start 8/24/16; 32.5 hours/month during trading.
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Alexander Castro'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®
NoneExperience
Current
August 1, 2013 - Present
J. W. COLE ADVISORS, INC.
Office #1: 7429 E. White Oak Ridge, Orange, CA 92869Office #2: 2522 Chambers Road, Tustin, CA 92780RIA
CRD#: 112294
Orange, CA
Current
August 1, 2013 - Present
J.W. COLE FINANCIAL, INC.
Office #2: 2522 Chambers Road, Tustin, CA 92780BD
CRD#: 124583
Orange, CA
Past
May 25, 2012 - July 31, 2013
GIRARD SECURITIES, INC.
RIA
CRD#: 18697
TUSTIN, CA
Past
April 17, 2012 - July 31, 2013
GIRARD SECURITIES, INC.
BD
CRD#: 18697
TUSTIN, CA
Past
April 18, 2006 - April 17, 2012
MODERN CAPITAL SECURITIES INC.
RIA
CRD#: 130876
PLEASANT VIEW, TN
Past
April 18, 2006 - April 17, 2012
MODERN CAPITAL SECURITIES INC.
BD
CRD#: 130876
RALEIGH, NC
Past
December 12, 2003 - March 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
ORANGE, CA
Past
December 12, 2003 - March 23, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
BOSTON, MA
Past
May 15, 2000 - January 8, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SANTA ANA, CA
Past
May 12, 2000 - January 8, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 19, 1998 - May 22, 2000
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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".
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)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
Arizona(7/28/2016)
RR
California(8/1/2013)
IAR
California(8/1/2013)
RR
Colorado(8/1/2013)
RR
Hawaii(8/8/2013)
RR
Idaho(1/13/2021)
RR
Nevada(8/1/2013)
RR
Oregon(8/11/2020)
RR
Utah(8/2/2013)
RR
Washington(8/13/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
JW
J. W. COLE ADVISORS, INC.
ESHBACH RETIREMENT PLANNING | TILCHIN ASSET MANAGEMENT | JONATHAN ROBERTS ADVISORY GROUP, INC. | JONATHAN ROBERTS ADVISORY GROUP | JAFFE TILCHIN INVESTMENT PARTNERS | J.W. COLE ADVISORS, INC. | J. W. COLE ADVISORS, INC.
CRD#: 112294 / SEC#: 801-60722
RIA
Registered Investment Advisory firm - (11/23/2001 Approved)Arizona
Registered Investment Advisory firm - (12/4/2001 Terminated)Florida
Registered Investment Advisory firm - (12/5/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
Phone number
(813) 935-6776
Established
Firm type
Fiscal year end
# of Employees
512
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 29,614 |
| AUM (Assets Under Management) | $ 7,195,237,282 |
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.
