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LC

Lucas F. Castanien

NEXPOINT SECURITIES
Dallas, TX 75201
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CRD#: 4793959
LC

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.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

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
BD
CRD#: 165013
Dallas, TX
Past

July 22, 2019 - January 2, 2020

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
RICHMOND, VA
Past

November 1, 2010 - July 5, 2019

ARES WEALTH MANAGEMENT SOLUTIONS, LLC

BD
CRD#: 119546
DENVER, CO
Past

September 14, 2009 - October 20, 2010

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

April 22, 2009 - August 24, 2009

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
WESTMINSTER, CO
Past

October 22, 2007 - October 30, 2008

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

November 5, 2004 - October 22, 2007

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

May 7, 2004 - June 18, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA

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
Iowa
(1/13/2020)
RR
Kansas
(1/13/2020)
RR
Minnesota
(12/26/2023)
RR
Missouri
(1/13/2020)
RR
Nebraska
(1/13/2020)
RR
North Dakota
(12/26/2023)
RR
South Dakota
(12/21/2023)

Exams


State Security Law Exam
RR
Series 63
Date: 12/14/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA

Current Firm


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

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

BD
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)


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#
NEXPOINT ASSET MANAGEMENT, L.P.SHAREHOLDER149653
HOLT, DAVID ERICCHIEF COMPLIANCE OFFICER/ POO2426935
NORRIS, DUSTIN DAVIDPRESIDENT6624477
RUSSELL, SARAH DETLINGFINOP / PFO6727189

Disclosures


Regulatory Event1

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


NEXPOINT SECURITIES, INC.

CRD#: 165013Dallas, TX 75201

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