Carlos J. Castro

VALTRION CAPITAL MANAGEMENT

Austin, TX

Some features on this profile are disabled

CRD#: 5340409

Professional summary

Carlos Jose Castro, CFP®, who also goes by Carlos Castro, Charlie Jose Castro, is a registered financial advisor currently at VALTRION CAPITAL MANAGEMENT, LLC located in Austin, Texas.

Carlos is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Carlos has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Castro | Charlie Jose Castro

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.) CHARLIE CASTRO 2800 TREBLE LN UNIT 823 AUSTIN, TX CATEGORY: RENTAL PROPERTY INVESTMENT RELATED: YES TITLE: SELF DUTIES: COLLECT RENTAL INCOME, PROPERTY MANAGEMENT START DATE: 7/2020 HOURS PER MONTH: 1 HOURS PER MONTH DURING TRADING HOURS: 0 2.) SWBC 9311 San Pedro Ave. SUITE 600, San Antonio, TX CATEGORY: INSURANCE INVESTMENT RELATED: YES TITLE: AGENT DUTIES: OFFER GROUP HEALTH INSURANCE START DATE: 9/2023 HOURS PER MONTH: 0 HOURS PER MONTH DURING TRADING HOURS: 0

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Jose Castro'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®

CFP^®

Certified Financial Planner

Start date: 2010

Experience

Current

January 29, 2024 - Present

VALTRION CAPITAL MANAGEMENT, LLC

RIA

CRD#: 318048

Austin, TX

Past

May 26, 2020 - January 30, 2024

OSAIC FS, INC.

RIA

CRD#: 3870

ROUND ROCK, TX

Past

May 26, 2020 - January 30, 2024

OSAIC FS, INC.

CRD#: 3870

ROUND ROCK, TX

Past

January 8, 2018 - June 2, 2020

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

September 26, 2016 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

Addison, TX

Past

September 12, 2011 - September 6, 2016

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

Addison, TX

Past

September 12, 2011 - June 2, 2020

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

ADDISON, TX

Past

November 15, 2010 - April 29, 2011

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

AUSTIN, TX

Past

May 2, 2009 - April 29, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

AUSTIN, TX

Past

June 27, 2007 - May 2, 2009

WAMU INVESTMENTS, INC.

CRD#: 599

AUSTIN, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

VALTRION CAPITAL MANAGEMENT, LLC

REAL TALK CAPITAL, LLC | VALTRION CAPITAL MANAGEMENT, LLC

CRD#: 318048 / SEC#: 801-130820

RIA

Registered Investment Advisory firm - (8/26/2024 Approved)

Arizona

Registered Investment Advisory firm - (9/9/2024 Terminated)

California

Registered Investment Advisory firm - (10/9/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/9/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (9/10/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/9/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(1/29/2024)

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 65

Date: 11/12/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/11/2007

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: 10/19/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/26/2007

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VALTRION CAPITAL MANAGEMENT, LLC

REAL TALK CAPITAL, LLC | VALTRION CAPITAL MANAGEMENT, LLC

CRD#: 318048 / SEC#: 801-130820

RIA

Registered Investment Advisory firm - (8/26/2024 Approved)

Arizona

Registered Investment Advisory firm - (9/9/2024 Terminated)

California

Registered Investment Advisory firm - (10/9/2024 Terminated)

Florida

Registered Investment Advisory firm - (9/9/2024 Terminated)

Tennessee

Registered Investment Advisory firm - (9/10/2024 Terminated)

Texas

Registered Investment Advisory firm - (9/9/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3401 Mallory Ln, Suite 100, Franklin, TN 37067

Mailing Address

Phone number

(833) 856-2088

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VALTRION CAPITAL BROCHURE (10/20/2025)

Regulatory assets under management

Total Number of Accounts	351
AUM (Assets Under Management)	$ 143,588,939

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Carlos J. Castro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Jose Castro's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC FS, INC.

OSAIC FS, INC.

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

VALTRION CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/12/2010

Series 63

Date: 7/11/2007

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2010

Series 6

Date: 6/26/2007

Current Firm

VALTRION CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

VALTRION CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors