Steven B. Castro

EXOS WEALTH STRATEGIES

Chandler, AZ

Some features on this profile are disabled

CRD#: 4578029

Professional summary

Steven Brian Castro was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven Brian Castro is a registered financial advisor currently at EXOS WEALTH STRATEGIES, LLC located in Chandler, Arizona.

Steven is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Steven has worked at 7 firms and has passed the Series 66 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.

Independent insurance agent; investment related, Annuity/Insurance sales, agent, 06/2012, Annuity/Insurance sales, 40 hours per month, 20 during trading hours. Annuity/Insurance sales.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Brian Castro's CRS (Customer Relationship Summary).

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

MESA, AZ

Past

April 3, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

MESA, AZ

Past

March 24, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

MESA, AZ

Past

October 20, 2005 - April 11, 2006

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

SCOTTSDALE, AZ

Past

October 16, 2002 - April 11, 2006

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Arizona
(10/13/2023)

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 66

Date: 11/14/2002

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 10/15/2002

General Securities Representative Examination

Current Firm

EXOS WEALTH STRATEGIES, LLC

CRD#: 310869 / SEC#:

Arizona

Registered Investment Advisory firm - (10/13/2023 Approved)

Arkansas

Registered Investment Advisory firm - (4/6/2022 Approved)

Florida

Registered Investment Advisory firm - (6/3/2022 Approved)

Texas

Registered Investment Advisory firm - (10/19/2020 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

Spring, TX

Mailing Address

Phone number

(832) 844-9388

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	132
AUM (Assets Under Management)	$ 30,105,311

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Steven B. Castro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Steven Brian Castro's CRS (Customer Relationship Summary).

Certified licenses

Experience

EXOS WEALTH STRATEGIES, LLC

CENTRIC ADVISORS, LLC

CAPITAL MARKETS IQ, LLC

CONCERT WEALTH MANAGEMENT

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/14/2002

Series 7

Date: 10/15/2002

Current Firm

EXOS WEALTH STRATEGIES, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EXOS WEALTH STRATEGIES, LLC

TRUST BUT VERIFY

Similar Advisors