AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RC

Rafael C. Castillo

SLD AMERICA EQUITIES
Quezon City, 1100
Some features on this profile are disabled
CRD#: 6696272
RC

Professional summary

Rafael Campena Castillo is a registered financial professional currently at SLD AMERICA EQUITIES, INC. .

Rafael is registered as a RR (Registered Representative) and started their career in finance in 2016. Rafael has worked at 3 firms and has passed the Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Rafael Campena Castillo'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

July 25, 2024 - Present

SLD AMERICA EQUITIES, INC.

Office #1: 12/f One Cyberpod Centris Bl Eton Centris, Edsa Cor. Quezon Ave, Quezon City 1100
BD
CRD#: 36259
Quezon City,
Past

October 17, 2023 - June 17, 2024

ALLIANCE-ONE INVESTMENTS, LLC

BD
CRD#: 286025
TULSA, OK
Past

October 3, 2016 - May 9, 2018

DIRECTED SERVICES LLC

BD
CRD#: 21675
PASIG CITY, METRO MANILA,

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6TO
Date: 7/26/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/21/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/30/2016
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SA
SLD AMERICA EQUITIES, INC.
ING AMERICA EQUITIES, INC. | VOYA AMERICA EQUITIES, INC. | SLD AMERICA EQUITIES, INC.

CRD#: 36259 / SEC#: , 8-47089

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Mailing Address
1475 Dunwoody Drive Attention:compliance, West Chester, PA 19380
Phone number
(763) 342-9429
Established
Colorado since 09/27/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (46 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SECURITY LIFE OF DENVER INSURANCE COMPANYPARENT OF BROKER/DEALER
ANDERSON, KELLY MARIEDEPUTY COMPLIANCE OFFICER1819119
BURNS, BRANDI JOPRESIDENT5862366
DIXIT, ANURAKTCHAIR/DIRECTOR8029030
ESLINGER, CHAD MICHAELCHIEF COMPLIANCE OFFICER4182299
KILIAN, CONRAD JOHANNFINANCIAL AND OPERATIONS PRINCIPAL6214509
SOCHA, KEVIN ROBERTDIRECTOR7241694
WIESE, AMY JODIRECTOR5928677

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

SLD AMERICA EQUITIES, INC.

CRD#: 36259Quezon City 1100

TRUST BUT VERIFY

Monitor Rafael Castillo

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.