Paul A. Castagna

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CRD#: 43003

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.

Paul Alphonse Castagna was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 1973. Paul had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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) **Insurance sales Position: agent Nature: Insurance agent sales Investment Related: Yes Hours: 0 Securities Trading Hours: 0 Start Date: 06/01/1971 Address: 505 beach st, ste 120, San Francisco CA 94133 2) **Castagna Family Trust Position: trustee Nature: Castagna Family Trust This is a revocable living trust where my wife Beverly and I act as trustees. Investment Related: Yes Hours: 2 Securities Trading Hours: 0 Start Date: 01/15/1975 Address: 2312 Leavenworth St, San Francisco CA 94133 3) **1128 Valencia LLC Position: none Nature: 1128 Valencia LLC This is a Limited Liability Company whose only asset is an interest in an office building in Arizona. I am a member owning 35% through my family trust. I have no custody of assets, make no decisions, and am not involved in raising money or providing sales or investment of security or insurance to the company. I have has some phantom income form the business last year but received no disbursements. It is a potential capital gain. Jerry Lynch of Bay west Properties is the manager of this company. here is his information: Bay West 4747 Kilauea Avenue, Suite 206 Honolulu, HI 96816 Direct: (808) 529-9922 Investment Related: Yes Hours: 0 Securities Trading Hours: 0 Start Date: 06/10/1991 Address: Bay West, 4747 Kailauea Ave, Honolulu HI 96816 4) **Persolve 1 LLC Position: advisory board Nature: Serve on the management advisory board of Persolve 1 llc. my interest in Persolve 1 llc is strictly as an investor. It is a general partner in Persolve Legal Group LP a partnership that is the operating entity. Address: 9301 Corbin Ave, suite 1600, Northridge CA 91234, COLUMBUS ADVISORS - DBA 5) **ANNUITY EXPRES POSITION: agent NATURE: Annuity Express is a marketing partnership between myself and Frank Lavin also of SAI. It markets fixed deferred and immediate annuities. The partnership is dormant at this time because of time constraints and low interest rates but we may activate it at some time in the futue. We pay our employees and rent through this partnership entity but making capital contributions to the entity which flow out to our k1. INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/05/2012 ADDRESS: 505 Beach st, suite 120, San Francisco CA 94133, DESCRIPTION: Licensed insurance agent

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 21, 2022 - November 8, 2023

CASTAGNA, PAUL A.

RIA

CRD#: 323068

SAN FRANCISCO, CA

Past

November 3, 2017 - October 31, 2022

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

SAN FRANCISCO, CA

Past

November 3, 2017 - October 31, 2022

SECURITIES AMERICA, INC.

CRD#: 10205

SAN FRANCISCO, CA

Past

July 14, 2011 - November 7, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

SAN FRANCISCO, CA

Past

April 27, 2009 - November 7, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

SAN FRANCISCO, CA

Past

February 23, 2009 - April 3, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

February 11, 2003 - December 31, 2006

GOLDEN GATE FINANCIAL GROUP, LLC

CRD#: 120600

SAN FRANCISCO, CA

Past

June 25, 2002 - February 24, 2003

EPLANNING SECURITIES, INC.

CRD#: 46000

ROSEVILLE, CA

Past

May 22, 2002 - December 31, 2006

GOLDEN GATE FINANCIAL GROUP, LLC

RIA

CRD#: 120600

SAN FRANCISCO, CA

Past

December 3, 1997 - August 16, 2002

AURUM CAPITAL MANAGEMENT CORP

RIA

CRD#: 106988

SAN FRANCISCO, CA

Past

September 1, 1995 - June 21, 2002

AURUM SECURITIES CORP.

CRD#: 38598

SAN JOSE, CA

Past

October 20, 1980 - November 30, 1995

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

July 10, 1973 - November 30, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/8/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/23/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/20/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/20/2009

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 1

Date: 7/5/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2012

General Securities Principal Examination

Current Firm

CASTAGNA, PAUL A.

CRD#: 323068 / SEC#:

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(415) 760-4903

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Paul A. Castagna

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

EQUITABLE ADVISORS, LLC

GOLDEN GATE FINANCIAL GROUP, LLC

EPLANNING SECURITIES, INC.

GOLDEN GATE FINANCIAL GROUP, LLC

AURUM CAPITAL MANAGEMENT CORP

AURUM SECURITIES CORP.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

State Registrations and Notice Filings

Exams

Series 66

Date: 7/8/2011

Series 63

Date: 2/23/2009

SIE

Date: 10/1/2018

Series 7

Date: 6/20/2011

Series 6

Date: 2/20/2009

Series 1

Date: 7/5/1973

Series 24

Date: 10/29/2012

Current Firm

CASTAGNA, PAUL A.

Contact information

Documents

Red Flags

Company Information

CASTAGNA, PAUL A.

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