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CC

Charles Castillo

CREAND SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 4649386
CC

Professional summary

Charles Castillo, who also goes by Charlie Castillo, is a registered financial professional currently at CREAND SECURITIES located in Miami, Florida.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2008. Charles has worked at 2 firms and has passed the SIE, Series 86, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charlie Castillo

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) - BD

Click below to view Charles Castillo's CRS (Customer Relationship Summary).
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

July 13, 2016 - Present

CREAND SECURITIES

Office #1: 777 Brickell Avenue Suite 1201, Miami, FL 33131
BD
CRD#: 38964
Miami, FL
Past

October 13, 2008 - July 5, 2016

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL

State Registrations and Notice Filings

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

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
Florida
(7/13/2016)

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 86
Date: 4/11/2009
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 87
Date: 3/28/2009
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 10/11/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

CS
CREAND SECURITIES
BETA CAPITAL MANAGEMENT, INC. | CREAND WEALTH MANAGEMENT | CREAND SECURITIES | BETA CAPITAL WEALTH MANAGEMENT | BETA CAPITAL SECURITIES LLC | BETA CAPITAL MANAGEMENT, L.P.

CRD#: 38964 / SEC#: , 8-48481

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
777 Brickell Avenue Suite 1201, Miami, FL 33131
Mailing Address
777 Brickell Avenue Suite 1201, Miami, FL 33131
Phone number
(305) 358-8844
Established
Delaware since 12/31/1995
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CREDIT ANDORRA U.S. GP LLCSHAREHOLDER
ESCUDERO, MARYORI DEL SOCORROCOO4913350
GUZMAN, CARLOSCHIEF COMPLIANCE OFFICER1727654
HERVIS, IDELMA DE LA CARIDADCFO1429292
POVEDANO, NOELIACEO6126794
SOLIS MEDINA, ITZELAMLCO7817869

Disclosures

Regulatory Event7

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.

Company Information

CREAND SECURITIES

CRD#: 38964Miami, FL 33131

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