Milton D. Castellanos

GUARDIAN WEALTH ADVISORS

CHARLOTTE, NC

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CRD#: 3239784

Professional summary

Milton Dario Castellanos, who also goes by Milton Dario Castellanos Jr, is a registered financial advisor currently at GUARDIAN WEALTH ADVISORS, LLC located in Charlotte, North Carolina.

Milton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Milton has worked at 10 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Milton Dario Castellanos Jr

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Milton Dario Castellanos's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 7, 2020 - Present

GUARDIAN WEALTH ADVISORS, LLC

RIA

CRD#: 305412

CHARLOTTE, NC

Past

September 16, 2015 - February 18, 2021

HARBOR CAPITAL MANAGEMENT INC

RIA

CRD#: 106722

CHARLOTTE, NC

Past

February 21, 2013 - July 7, 2015

PROVIDENT PENSION COUNSEL, LLC

RIA

CRD#: 166656

CHARLOTTE, NC

Past

July 27, 2011 - February 21, 2013

PROVIDENT SOURCE, LLC

RIA

CRD#: 158501

CHARLOTTE, NC

Past

December 9, 2010 - July 27, 2011

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

RIA

CRD#: 117868

CHARLOTTE, NC

Past

July 29, 2010 - September 17, 2010

AMERITAS INVESTMENT COMPANY, LLC

RIA

CRD#: 14869

CHARLOTTE, NC

Past

September 22, 2009 - September 17, 2010

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

CHARLOTTE, NC

Past

November 6, 2008 - May 19, 2009

M HOLDINGS SECURITIES, INC.

CRD#: 43285

BETHESDA, MD

Past

September 25, 2007 - September 24, 2008

AMERITAS INVESTMENT COMPANY, LLC

CRD#: 14869

LINCOLN, NE

Past

December 19, 2006 - December 31, 2006

JOHN HANCOCK DISTRIBUTORS LLC

RIA

CRD#: 5249

CHARLOTTE, NC

Past

December 19, 2006 - May 16, 2007

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

July 31, 2006 - November 16, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BOWLING GREEN, KY

Past

May 22, 2006 - November 16, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOWLING GREEN, KY

Past

May 22, 2001 - May 23, 2006

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

July 12, 1999 - June 2, 2000

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

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".

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(12/7/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/19/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/28/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/21/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/5/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/10/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

CRD#: 305412 / SEC#: 801-118121

RIA

Registered Investment Advisory firm - (2/24/2020 Approved)

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Contact information

Main Address

4270 The Circle At North Hills Street Suite 200, Raleigh, NC 27609

Mailing Address

Phone number

(919) 874-1900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (18 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GWA FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	1,683
AUM (Assets Under Management)	$ 2,051,517,525

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.

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Advisor Monitoring

Firm Stability Insights

Milton D. Castellanos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Milton Dario Castellanos's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARBOR CAPITAL MANAGEMENT INC

PROVIDENT PENSION COUNSEL, LLC

PROVIDENT SOURCE, LLC

MILLENNIUM INVESTMENT AND RETIREMENT ADVISORS, LLC

AMERITAS INVESTMENT COMPANY, LLC

AMERITAS INVESTMENT COMPANY, LLC

M HOLDINGS SECURITIES, INC.

AMERITAS INVESTMENT COMPANY, LLC

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

JOHN HANCOCK DISTRIBUTORS LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

GUARDIAN WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 7/19/2010

Series 66

Date: 7/28/2006

Series 63

Date: 12/21/2005

Series 7

Date: 7/5/2006

Series 6

Date: 7/10/1999

Current Firm

GUARDIAN WEALTH ADVISORS, LLC

Contact information

SEC notice filing (18 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GUARDIAN WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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