RC
Ronald Castor
CETERA INVESTMENT ADVISERS LLC
OVERLAND PARK, KS 66213
Some features on this profile are disabled
CRD#: 4274249
RC
Professional summary
Ronald Castor is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Overland Park, Kansas and CETERA ADVISORS LLC located in Overland Park, Kansas.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ronald has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: RONALD CASTOR LC; INVESTMENT RELATED: NO; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: ACCOUNTING; START DATE: 12/2001; POSITION/TITLE/RELATIONSHIP: CERTIFIED PUBLIC ACCOUNTANT; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: ACCOUNTING, PAYROLL, TAX PREPARATION. FINANCIAL AND INSURANCE SERVICES; 3. MD LIONSGATE OFFICE CENTER D LLC, 14221 MCTCALF AVE STE 200 OVERLAND PARK KS 66223, REAL ESTATE, MEMBER, START 08/01/08, 2HR/WK 4. RONALD CASTOR LC, 14221 MCTCALF AVE STE 200 OVERLAND PARK KS 66223, DBA NAME FOR FINANCIAL SERVICES, REP/OWNER, START 2001, 40HE/WK 5.NAME OF OTHER BUSINESS: SLEEPYHEAD BEDS; INVESTMENT RELATED: NO; ADDRESS: 5604 TROOST, KANSAS CITY, MO 64110; NATURE OF BUSINESS: NON PROFIT; START DATE: 01/2012; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER / TREASURER; APX NUMBER OF HOURS PER WEEK: 5-10; APX NUMBER OF HOURS DURING TRADING HOURS: 5-10; BRIEF DESCRIPTION OF DUTIES: ASSIST WITH DEVELOPMENT PLANNING ND FINANCIAL OVERSIGHT;
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Castor'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
March 21, 2024 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 7301 W 129th Street Suite 250, Overland Park, KS 66213RIA
CRD#: 105644
OVERLAND PARK, KS
Current
January 1, 2004 - Present
CETERA ADVISORS LLC
Office #1: 7301 W 129th Street Suite 250, Overland Park, KS 66213BD
CRD#: 10299
OVERLAND PARK, KS
Past
August 10, 2004 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
GREENWOOD VILLAGE, IL
Past
June 14, 2004 - December 31, 2004
PROSPERITY NETWORK, INC
RIA
CRD#: 116331
OVERLAND PARK, KS
Past
November 17, 2000 - January 1, 2004
VESTAX SECURITIES CORPORATION
BD
CRD#: 10332
HUDSON, OH
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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
Arizona(11/20/2006)
RR
Colorado(1/2/2008)
RR
Florida(1/23/2007)
RR
Idaho(12/11/2015)
RR
Illinois(1/1/2004)
RR
Indiana(9/29/2022)
RR
Iowa(1/2/2008)
RR
Kansas(1/1/2004)
IAR
Kansas(3/21/2024)
RR
Maryland(11/27/2013)
RR
Missouri(1/1/2004)
RR
Nebraska(12/16/2016)
RR
New York(8/18/2016)
RR
North Carolina(3/5/2021)
RR
Ohio(12/23/2024)
RR
Oregon(1/12/2016)
RR
Texas(1/7/2005)
IAR
Texas(3/21/2024)
RR
West Virginia(8/16/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
