Rhonda Castle
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.
Rhonda Castle, who also goes by Rhonda E Castle, was a registered financial professional .
Rhonda is a previously registered financial professional and started their career in finance in 2003. Rhonda had worked at 19 firms and has passed the SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2022 - February 18, 2026
STERLING CAPITAL DISTRIBUTORS, LLC
April 14, 2022 - February 18, 2026
MGI FUNDS DISTRIBUTORS, LLC
October 7, 2021 - February 18, 2026
PARNASSUS FUNDS DISTRIBUTOR, LLC
February 12, 2021 - February 18, 2026
QUASAR DISTRIBUTORS, LLC
March 20, 2019 - October 11, 2023
COMPASS DISTRIBUTORS, LLC
August 17, 2018 - February 18, 2026
FORESIDE FINANCIAL SERVICES, LLC
June 7, 2018 - May 1, 2020
BD COMPLIANCE SOLUTIONS, LLC
June 7, 2018 - June 23, 2020
FORESIDE DISTRIBUTION SOLUTIONS, LLC
February 12, 2016 - June 23, 2020
FAIRHOLME DISTRIBUTORS, LLC
February 12, 2016 - February 18, 2026
FORESIDE FUNDS DISTRIBUTORS LLC
January 3, 2014 - June 23, 2020
FORESIDE ASSOCIATES, LLC
January 3, 2014 - February 18, 2026
IMST DISTRIBUTORS, LLC
July 31, 2009 - February 18, 2026
FORESIDE FUND SERVICES, LLC
July 27, 2009 - February 18, 2026
NORTHERN FUNDS DISTRIBUTORS, LLC
June 19, 2007 - February 18, 2026
FUNDS DISTRIBUTOR, LLC
October 9, 2006 - February 18, 2026
FORESIDE DISTRIBUTION SERVICES, L.P.
February 27, 2006 - September 20, 2006
1717 CAPITAL MANAGEMENT COMPANY
September 11, 2003 - September 15, 2006
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 2, 2003 - December 21, 2005
NATIONWIDE SECURITIES, LLC
March 26, 2003 - September 8, 2003
NATIONWIDE INVESTMENT SERVICES CORPORATION
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
STERLING CAPITAL DISTRIBUTORS, LLC
CRD#: 103934 / SEC#: , 8-52396
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | CHIEF COMPLIANCE OFFICER / VP / TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
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.
