Anthony N. Castelli

PENSERRA CAPITAL MANAGEMENT LLC

Orinda, CA 94563

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CRD#: 4409925

Professional summary

Anthony Nmn Castelli, who also goes by Anthony Castelli, is a registered financial advisor currently at PENSERRA CAPITAL MANAGEMENT LLC located in Orinda, California and PENSERRA GLOBAL INVESTORS LLC located in Orinda, California.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Anthony has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, SIE, Series 87, Series 55, Series 7, Series 25, Series 53, Series 24 and Series 14 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Anthony Castelli

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 Anthony Nmn Castelli'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®

None

Experience

Current

January 4, 2018 - Present

PENSERRA CAPITAL MANAGEMENT LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 159042

Orinda, CA

Current

January 19, 2018 - Present

PENSERRA GLOBAL INVESTORS LLC

Office #1: 4 Orinda Way Suite 100-a, Orinda, CA 94563

RIA

CRD#: 174309

Orinda, CA

Current

April 30, 2008 - Present

PENSERRA SECURITIES, LLC

Office #1: 530 Seventh Ave Suite 2802, New York, NY 10018

CRD#: 145994

New York, NY

Past

January 19, 2017 - May 18, 2017

CHEEVERS & COMPANY, LLC

CRD#: 31312

CHICAGO, IL

Past

May 13, 2016 - December 31, 2017

PENSERRA GLOBAL INVESTORS LLC

RIA

CRD#: 174309

ORINDA, CA

Past

June 4, 2015 - December 31, 2017

PENSERRA CAPITAL MANAGEMENT LLC

RIA

CRD#: 159042

ORINDA, CA

Past

April 4, 2012 - June 12, 2013

ROSENBLATT SECURITIES INC.

CRD#: 18377

NEW YORK, NY

Past

February 23, 2007 - February 14, 2012

ROSENBLATT SECURITIES INC.

CRD#: 18377

NEW YORK, NY

Past

April 16, 2004 - February 23, 2007

LEK SECURITIES CORPORATION

CRD#: 33135

NEW CITY, NY

Past

October 18, 2001 - February 23, 2007

JOSEPH A. SANGIMINO, INC.

CRD#: 32810

STATEN ISLAND, NY

Past

June 11, 2001 - September 5, 2001

JOSEPH A. SANGIMINO, INC.

CRD#: 32810

STATEN ISLAND, 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".

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

California
(6/20/2013)

IAR

California
(1/4/2018)

Florida
(8/1/2017)

Illinois
(6/20/2013)

Indiana
(3/5/2021)

Minnesota
(1/30/2015)

New Jersey
(6/28/2011)

New Mexico
(6/16/2011)

New York
(5/4/2010)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/1/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 9/25/2025

Municipal Securities Representative Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 7/10/2014

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 12/5/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/7/2003

General Securities Representative Examination

General Industry/Product Exam

Series 25

Date: 8/14/2002

NYSE Trading Assistant Examination

Principal/Supervisory Exam

Series 53

Date: 10/21/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/26/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 14

Date: 12/9/2003

Compliance Officer Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

PENSERRA CAPITAL MANAGEMENT LLC | PENSERRA PARTNERS LLC

CRD#: 159042 / SEC#: 801-80466

RIA

Registered Investment Advisory firm - (10/27/2014 Approved)

New York

Registered Investment Advisory firm - (10/28/2014 Terminated)

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Contact information

Main Address

4 Orinda Way Suite 100-a, Orinda, CA 94563

Mailing Address

Phone number

(800) 456-8850

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

PENSERRA CAPITAL 20250721 (7/21/2025)

Regulatory assets under management

Total Number of Accounts	44
AUM (Assets Under Management)	$ 11,500,000,000

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

Anthony N. Castelli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Nmn Castelli's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENSERRA GLOBAL INVESTORS LLC

PENSERRA SECURITIES, LLC

CHEEVERS & COMPANY, LLC

PENSERRA GLOBAL INVESTORS LLC

PENSERRA CAPITAL MANAGEMENT LLC

ROSENBLATT SECURITIES INC.

ROSENBLATT SECURITIES INC.

LEK SECURITIES CORPORATION

JOSEPH A. SANGIMINO, INC.

JOSEPH A. SANGIMINO, INC.

Primary Firm SEC Registration

PENSERRA CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/1/2011

Series 63

Date: 4/8/2004

Series 52TO

Date: 9/25/2025

Series 57TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 7/10/2014

Series 55

Date: 12/5/2006

Series 7

Date: 11/7/2003

Series 25

Date: 8/14/2002

Series 53

Date: 10/21/2008

Series 24

Date: 11/26/2007

Series 14

Date: 12/9/2003

FINRA

Investors' Exchange LLC

NYSE Texas, Inc.

Nasdaq Stock Market

Current Firm

PENSERRA CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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