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TC

Thomas Castelluccio

VICTORY CAPITAL SERVICES
San Antonio, TX 78256
Some features on this profile are disabled
CRD#: 6473163
TC

Professional summary

Thomas Castelluccio, who also goes by Thomas Anthony Castelluccio, is a registered financial professional currently at VICTORY CAPITAL SERVICES, INC. located in San Antonio, Texas.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2019. Thomas has worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas Anthony Castelluccio

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Castelluccio'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

September 1, 2021 - Present

VICTORY CAPITAL SERVICES, INC.

Office #1: 15935 La Cantera Parkway, San Antonio, TX 78256
BD
CRD#: 37059
San Antonio, TX
Past

December 16, 2019 - August 24, 2021

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
AUSTIN, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Texas
(9/1/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 2/24/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/16/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2019
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

VC
VICTORY CAPITAL SERVICES, INC.
CHS INVESTMENT SERVICES, INC. | VICTORY INCOME INVESTORS | VICTORY FUNDS | VICTORY CAPITAL SERVICES, INC. | VICTORY CAPITAL ADVISERS, INC. | TRIVALENT INVESTMENTS | THE ONE GROUP SERVICES COMPANY | SYCAMORE CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | ONE GROUP SERVICES COMPANY (THE) | OGSC DISTRIBUTOR, INC. | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | INTEGRITY ASSET MANAGEMENT

CRD#: 37059 / SEC#: , 8-47577

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Mailing Address
4900 Tiedeman Road 4th Floor, Brooklyn, OH 44144
Phone number
(216) 898-2400
Established
Delaware since 06/03/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VICTORY CAPITAL OPERATING, LLCSOLE SHAREHOLDER
INKS, DONALD ANTHONYCHIEF OPERATIONS OFFICER2311245
MATHES, CHARLES BCHIEF COMPLIANCE OFFICER5980160
POLICARPO, MICHAEL DENNIS IIPRESIDENT4316912
PONTE, CHRISTOPHER ANTONICFO/FINOP5968469

Disclosures

Regulatory Event1

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.

Company Information

VICTORY CAPITAL SERVICES, INC.

CRD#: 37059San Antonio, TX 78256

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