Monique R. Castillo

CETERA INVESTMENT ADVISERS LLC

PHILADELPHIA, PA 19103

Some features on this profile are disabled

CRD#: 5505758

Professional summary

Monique Renay Castillo, who also goes by Monique Renay Castillo, Monique Castillo, Monique Renay Daniels, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Philadelphia, Pennsylvania and CETERA WEALTH SERVICES, LLC located in Philadelphia, Pennsylvania.

Monique is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Monique has worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Monique Renay Castillo | Monique Castillo | Monique Renay Daniels

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.

(dba) HIGHER GROUND FINANCIAL; Investment Related; 1900 Market Street, Philadelphia PA 19103; Investments; Owner; Start Date 06/2017; 160 hours per month with all 160 hours per month occurring during trading hours; Financial Services, including insurance sales in Life, Health, LTC and annuity products. >> UNDERWRITERS MARKETING SERVICE; Investment Related; 100 Century Pkwy, Suite 240, Mt Laurel, NJ 08054; Insurance; Financial Adviser; Start Date 06/2017; 10 hours per month with 2 of those hours per month occurring during trading hours; I place insurance business - Life, Health, Long-Term Care - through Underwriters Marketing Service a FMO (Field Marketing Organization). I am not an employee - I am a licensed insurance agent who uses their services.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monique Renay Castillo'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

February 20, 2025 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 1900 Market Street 8th Floor, Philadelphia, PA 19103

RIA

CRD#: 105644

PHILADELPHIA, PA

Current

February 20, 2025 - Present

CETERA WEALTH SERVICES, LLC

Office #1: 1900 Market Street 8th Floor, Philadelphia, PA 19103

CRD#: 13572

Philadelphia, PA

Past

June 16, 2017 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

Philadelphia, PA

Past

June 16, 2017 - February 20, 2025

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Philadelphia, PA

Past

February 1, 2012 - June 16, 2017

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

JENKINTOWN, PA

Past

January 30, 2012 - June 16, 2017

OPPENHEIMER & CO. INC.

CRD#: 249

JENKINTOWN, PA

Past

February 4, 2010 - February 9, 2012

QUESTAR ASSET MANAGEMENT, INC.

RIA

CRD#: 133358

MINNEAPOLIS, MN

Past

February 1, 2010 - February 9, 2012

QUESTAR CAPITAL CORPORATION

CRD#: 43100

CHERRY HILL, NJ

Past

April 28, 2008 - October 6, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

PHILADELPHIA, PA

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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.

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

California
(2/20/2025)

Delaware
(2/20/2025)

District of Columbia
(2/20/2025)

Georgia
(2/20/2025)

Maine
(2/20/2025)

Maryland
(2/20/2025)

Massachusetts
(2/20/2025)

New Jersey
(2/20/2025)

IAR

New Jersey
(2/20/2025)

New York
(2/20/2025)

North Carolina
(2/20/2025)

Ohio
(2/20/2025)

Pennsylvania
(2/20/2025)

IAR

Pennsylvania
(2/20/2025)

South Dakota
(4/4/2025)

Virginia
(2/20/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/22/2008

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: 4/25/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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

Paul Mullen

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

Horsham, PA

Boris Niko

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Feasterville, PA

Dustin Willing

KESTRA ADVISORY SERVICES, LLC

IAR

Wayne, PA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Monique R. Castillo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Monique Renay Castillo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

QUESTAR ASSET MANAGEMENT, INC.

QUESTAR CAPITAL CORPORATION

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/22/2008

SIE

Date: 10/1/2018

Series 7

Date: 4/25/2008

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

Similar Advisors