Ana M. Castaneda
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.
Ana Milena Castaneda, who also goes by Ana M Castaneda, Ana Milena Castaneda, Ana Milena Negro, Ana Negro, was a registered financial professional .
Ana is a previously registered financial professional and started their career in finance in 2008. Ana had worked at 7 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - November 17, 2021
STONEX SECURITIES INC.
August 9, 2018 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
July 20, 2016 - September 2, 2016
MWA FINANCIAL SERVICES INC.
January 1, 2014 - August 1, 2014
EQUITABLE ADVISORS, LLC
September 14, 2010 - July 11, 2012
MML INVESTORS SERVICES, LLC
July 15, 2008 - August 12, 2009
THRIVENT INVESTMENT MANAGEMENT INC.
April 7, 2008 - July 8, 2008
WALNUT STREET SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 6/29/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
STONEX SECURITIES INC.
CRD#: 18456 / SEC#: , 8-36638
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | 100% OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| CARTER, JAY WILSON | PRESIDENT/CHIEF EXECUTIVE OFFICER/DIRECTOR | 2412541 |
| DAVISON, STUART ANDREW | DIRECTOR | 7824576 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR | 6505923 |
| HUGO, MARK ERIC | POO | 2177412 |
| LYON, CHARLES MARTIN | DIRECTOR | 4000852 |
| MAURER, MARK L | DIRECTOR | 4234406 |
| MCAUSLAN, JAMES BUCHANAN | DIRECTOR | 7658964 |
| PARKER, BRIAN LANE | CHIEF COMPLIANCE OFFICER, ROSFP | 4635848 |
| PORZIO, JOSEPH JOHN | CFO / PFO / FINOP | 1319702 |
| RICHARDSON, MARCUS BRYANT | CHIEF OPERATING OFFICER | 3037932 |
| SMITH, PHILIP ANDREW | DIRECTOR, CHAIRMAN OF THE BOARD | 4999097 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 4 |
Red Flags
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