Lucas F. Castanien

NEXPOINT SECURITIES

Dallas, TX 75201

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CRD#: 4793959

Professional summary

Lucas Finley Castanien, who also goes by Lucas F. Castanien, Luke Finley Castanien, Lucas F Castanien, is a registered financial professional currently at NEXPOINT SECURITIES, INC. located in Dallas, Texas.

Lucas is registered as a RR (Registered Representative) and started their career in finance in 2004. Lucas has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Lucas F. Castanien | Luke Finley Castanien | Lucas F Castanien

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 Lucas Finley Castanien'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

January 13, 2020 - Present

NEXPOINT SECURITIES, INC.

Office #1: 200 Crescent Court Suite 700, Dallas, TX 75201

CRD#: 165013

Dallas, TX

Past

July 22, 2019 - January 2, 2020

WEALTHFORGE SECURITIES, LLC

CRD#: 152550

RICHMOND, VA

Past

November 1, 2010 - July 5, 2019

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

CRD#: 119546

DENVER, CO

Past

September 14, 2009 - October 20, 2010

TRANSAMERICA CAPITAL, LLC

CRD#: 8217

DENVER, CO

Past

April 22, 2009 - August 24, 2009

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

WESTMINSTER, CO

Past

October 22, 2007 - October 30, 2008

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

Past

November 5, 2004 - October 22, 2007

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

FRANKLIN, TN

Past

May 7, 2004 - June 18, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

State Registrations and Notice Filings

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

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

Iowa
(1/13/2020)

Kansas
(1/13/2020)

Minnesota
(12/26/2023)

Missouri
(1/13/2020)

Nebraska
(1/13/2020)

North Dakota
(12/26/2023)

South Dakota
(12/21/2023)

Exams

State Security Law Exam

Series 63

Date: 12/14/2006

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: 12/18/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/6/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NEXPOINT SECURITIES, INC.

HIGHLAND CAPITAL FUNDS DISTRIBUTOR, INC. | PYXIS DISTRIBUTORS, INC. | NEXPOINT SECURITIES, INC.

CRD#: 165013 / SEC#: , 8-69128

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

200 Crescent Court, Suite 700, Dallas, TX 75201

Mailing Address

200 Crescent Court, Suite 700, Dallas, TX 75201

Phone number

(833) 697-6246

Established

Delaware since 06/14/2012

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
NEXPOINT ASSET MANAGEMENT, L.P.	SHAREHOLDER	149653
HOLT, DAVID ERIC	CHIEF COMPLIANCE OFFICER/ POO	2426935
NORRIS, DUSTIN DAVID	PRESIDENT	6624477
RUSSELL, SARAH DETLING	FINOP / PFO	6727189

Disclosures

Regulatory Event

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

Lucas F. Castanien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Lucas Finley Castanien's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHFORGE SECURITIES, LLC

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

TRANSAMERICA CAPITAL, LLC

CHASE INVESTMENT SERVICES CORP.

JANUS HENDERSON DISTRIBUTORS US LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/14/2006

SIE

Date: 10/1/2018

Series 7

Date: 12/18/2007

Series 6

Date: 5/6/2004

FINRA

Current Firm

NEXPOINT SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NEXPOINT SECURITIES, INC.

TRUST BUT VERIFY

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