Anne K. Castro

G.B. ALLEN ASSOCIATES

Montvale, NJ 07645

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CRD#: 6116245

Professional summary

Anne Karen Castro, who also goes by Karen Anne Castro, is a registered financial advisor currently at G.B. ALLEN ASSOCIATES, INC. located in Montvale, New Jersey.

Anne is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Anne has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Karen Anne 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.

GB ALLEN CASTRO & ASSOC. I AM AN OFFICER OF THIS ACCOUNTING FIRM

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Karen Castro's 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

December 12, 2012 - Present

G.B. ALLEN ASSOCIATES, INC.

Office #1: 85 Chestnut Ridge Road Ste 215, Montvale, NJ 07645

RIA

CRD#: 112737

Montvale, NJ

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

New Jersey
(12/12/2012)

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: 12/11/2012

Uniform Investment Adviser Law Examination

Current Firm

G.B. ALLEN ASSOCIATES, INC.

ALLEN G B ASSOCIATES INC. | G.B. ALLEN ASSOCIATES, INC.

CRD#: 112737 / SEC#: 801-56544

RIA

Registered Investment Advisory firm - (6/25/2012 Terminated)

Florida

Registered Investment Advisory firm - (11/25/2024 Terminated)

New Jersey

Registered Investment Advisory firm - (6/22/2012 Approved)

New York

Registered Investment Advisory firm - (10/30/2020 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).

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Contact information

Main Address

85 Chestnut Ridge Road Ste 215, Montvale, NJ 07645

Mailing Address

Phone number

(201) 262-7878

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	60
AUM (Assets Under Management)	$ 99,644,000

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.

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Anne K. Castro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anne Karen Castro's CRS (Customer Relationship Summary).

Certified licenses

Experience

G.B. ALLEN ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/2012

Current Firm

G.B. ALLEN ASSOCIATES, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

G.B. ALLEN ASSOCIATES, INC.

TRUST BUT VERIFY

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