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Misty Heather Castle

Misty H. Castle

Some features on this profile are disabled
CRD#: 4905713
Misty Heather 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.

Misty Heather Castle, CFP®, ChFC®, who also goes by Misty Heather Castle Miss, was a registered financial professional .

Misty is a previously registered financial professional and started their career in finance in 2006. Misty had 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"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 16, 2018 - September 23, 2019

HB SECURITIES, LLC

BD
CRD#: 140356
Beverly Hills, CA
Past

April 11, 2018 - July 24, 2018

HB SECURITIES, LLC

BD
CRD#: 140356
BEVERLY HILLS, CA
Past

April 29, 2016 - December 31, 2025

CASTLE WEALTH ADVISORS LLC

RIA
CRD#: 283231
SHERMAN OAKS, CA
Past

March 4, 2016 - December 31, 2017

PRIVATE CLIENT SERVICES, LLC

BD
CRD#: 120222
Los Angeles, CA
Past

September 10, 2015 - March 9, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA
CRD#: 793
LOS ANGELES, CA
Past

September 10, 2015 - March 9, 2016

STIFEL, NICOLAUS & COMPANY, INCORPORATED

BD
CRD#: 793
LOS ANGELES, CA
Past

November 29, 2012 - September 17, 2015

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SANTA MONICA, CA
Past

November 28, 2012 - September 17, 2015

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SANTA MONICA, CA
Past

May 12, 2009 - September 6, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
BIRMINGHAM, AL
Past

May 12, 2009 - September 6, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
BIRMINGHAM, AL
Past

October 2, 2008 - May 5, 2009

SYNOVUS SECURITIES, INC.

RIA
CRD#: 14023
BIRMINGHAM, AL
Past

October 2, 2008 - May 5, 2009

SYNOVUS SECURITIES, INC.

BD
CRD#: 14023
BIRMINGHAM, AL
Past

October 23, 2007 - September 30, 2008

INTL ADVISORY CONSULTANTS INC.

RIA
CRD#: 130888
BIRMINGHAM, AL
Past

October 23, 2007 - September 30, 2008

STERNE, AGEE & LEACH, INC.

BD
CRD#: 791
BIRMINGHAM, AL
Past

October 13, 2006 - October 31, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
BIRMINGHAM, AL
Past

September 28, 2006 - October 31, 2007

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
BIRMINGHAM, AL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/12/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/27/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/4/2013
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 9/30/2013
General Securities Sales Supervisor - Options Module Examination

Current Firm

HS
HB SECURITIES, LLC
HB SECURITIES, LLC | NMS FINANCIAL SERVICES, LLC | NMS CAPITAL ADVISORS, LLC. | MITRE GROUP LLC | J&C GLOBAL SECURITIES LLC

CRD#: 140356 / SEC#: , 8-67307

BD
Terminated by SEC on 02/15/2025
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Contact information

Main Address
Mailing Address
Phone number
Established
Indiana since 01/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
J&C GLOBAL HOLDINGS, INC.HOLDING COMPANY
NMS FIN HOLDINGS LLCOWNER
DE LUZ, MICHAEL KCEO/CCO2526894
DOOLEY, BRADFORD RFINOP4308078

Disclosures

Regulatory Event2

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

HB SECURITIES, LLC

CRD#: 140356

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