Melissa A. Masterson-kellenberger
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.
Melissa Ann Masterson-kellenberger, who also goes by Melissa Masterson, Melissa Ann Paquette, Melissa Paquette, was a registered financial professional .
Melissa is a previously registered financial professional and started their career in finance in 2011. Melissa had worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2020 - May 4, 2021
CASTLE WEALTH MANAGEMENT
February 24, 2015 - November 20, 2015
DWS DISTRIBUTORS, INC.
January 9, 2014 - February 24, 2015
DEUTSCHE BANK SECURITIES INC.
January 7, 2011 - August 29, 2012
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
CASTLE WEALTH MANAGEMENT
CRD#: 118364 / SEC#: 801-60871
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
Current Firm
CASTLE WEALTH MANAGEMENT
CRD#: 118364 / SEC#: 801-60871
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 812 |
| AUM (Assets Under Management) | $ 371,943,152 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/02/2025 | ||
| 01/18/2024 | ||
| 10/28/2022 |
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.
