Misty H. Castle

CASTLE WEALTH ADVISORS LLC

Sherman Oaks, CA

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CRD#: 4905713

Professional summary

Misty Heather Castle, CFP®, ChFC®, who also goes by Misty Heather Castle Miss, is a registered financial advisor currently at CASTLE WEALTH ADVISORS LLC located in Sherman Oaks, California.

Misty is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Misty has worked at 11 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Misty Heather Castle Miss

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.

1: Non-investment related insurance sales through various carriers (Through RIA), 3556 Beverly Ridge Drive, Sherman Oaks, CA 91423, 10 hours per month/0 during trading. Start date March 2016 2: Part-time Traveling Notary & Signing Agent; non-investment related; 3556 Beverly Ridge Drive, Los Angeles CA 91423; Position Title: Traveling Notary and Signing Agent; Hours devoted to business during trading hours: 0; Hours devoted to business outside trading hours: 10; Start date March 2020 3: adjunct Professor, teaching FI440 for California State University- Northridge, non-investment related, 18111 Nordhoff Street, Northridge, CA 91330, 30 hours per month, 0 during trading, start date Aug 2016 4: Part-time instructor, teaching CFP(R) courses for Kaplan Professional. non-nvestment related, 332 Front Street, S, STE 501, La Crosse, WI 54601, 0-20 hours per month, 0-5 during trading, start date Nov 2017

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Misty Heather Castle's 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®

CFP^®

Certified Financial Planner

Start date: 2015

ChFC^®

Chartered Financial Consultant

Experience

Current

April 29, 2016 - Present

CASTLE WEALTH ADVISORS LLC

RIA

CRD#: 283231

Sherman Oaks, CA

Past

August 16, 2018 - September 23, 2019

HB SECURITIES, LLC

CRD#: 140356

Beverly Hills, CA

Past

April 11, 2018 - July 24, 2018

RIA

CRD#: 42803

BIRMINGHAM, AL

Past

September 28, 2006 - October 31, 2007

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

BIRMINGHAM, AL

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

Alabama
(5/26/2016)

IAR

California
(4/29/2016)

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: 10/12/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/27/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 11/4/2013

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 9/30/2013

General Securities Sales Supervisor - Options Module Examination

Current Firm

CASTLE WEALTH ADVISORS LLC

CRD#: 283231 / SEC#:

Alabama

Registered Investment Advisory firm - (5/19/2016 Approved)

California

Registered Investment Advisory firm - (4/29/2016 Approved)

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Contact information

Main Address

Sherman Oaks, CA

Mailing Address

Phone number

(805) 334-0489

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Advisor Monitoring

Firm Stability Insights

Misty H. Castle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Misty Heather Castle's CRS (Customer Relationship Summary).

Certified licenses

Experience

HB SECURITIES, LLC

HB SECURITIES, LLC

PRIVATE CLIENT SERVICES, LLC

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

SYNOVUS SECURITIES, INC.

SYNOVUS SECURITIES, INC.

INTL ADVISORY CONSULTANTS INC.

STERNE, AGEE & LEACH, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2006

SIE

Date: 10/1/2018

Series 7

Date: 9/27/2006

Series 10

Date: 11/4/2013

Series 9

Date: 9/30/2013

Current Firm

CASTLE WEALTH ADVISORS LLC

Contact information

Documents

Red Flags

Company Information

CASTLE WEALTH ADVISORS LLC

TRUST BUT VERIFY

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