Maria E. 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.
Maria E Castillo, who also goes by Mari Castillo, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1999. Maria had worked at 3 firms and has passed the Series 66, Series 7, Series 6 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
August 21, 2012 - January 4, 2013
WEALTH SOLUTIONS, INC.
July 30, 2012 - December 17, 2012
WEALTH SOLUTIONS, INC.
June 30, 2008 - July 30, 2010
KESTRA INVESTMENT SERVICES, LLC
June 29, 2004 - July 30, 2010
KESTRA INVESTMENT SERVICES, LLC
October 19, 1999 - December 4, 2003
INVESCO DISTRIBUTORS, INC.
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
WEALTH SOLUTIONS, INC.
CRD#: 35331 / SEC#: , 8-46766
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BLAIR, RICHARD DWAYNE | PRESIDENT/DIRECTOR/SEC/CCO | 2256412 |
Regulatory assets under management
| Total Number of Accounts | 900 |
| AUM (Assets Under Management) | $ 75,000,000 |
Disclosures
| Regulatory Event | 7 |
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.
