NC
Nicauris Castillo Estevez
ROOSEVELT & CROSS
Staten Island, NY
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CRD#: 6718893
NC
Professional summary
Nicauris Castillo Estevez, who also goes by Nicauris Castillo, Nicauris Castillo Extevez, is a registered financial professional currently at ROOSEVELT & CROSS, INCORPORATED located in Staten Island, New York.
Nicauris is registered as a RR (Registered Representative) and started their career in finance in 2022. Nicauris has worked at 1 firm and has passed the Series 63, Series 52TO, SIE and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicauris Castillo | Nicauris Castillo Extevez
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.
CRS (Client Relationship Summary) - BD
Click below to view Nicauris Castillo Estevez'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®
NoneExperience
Current
January 31, 2022 - Present
ROOSEVELT & CROSS, INCORPORATED
Office #2: One Exchange Plaza 55 Broadway 22nd Fl, New York, NY, 10006BD
CRD#: 6964
Staten Island, NY
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
Alabama(10/18/2023)
RR
Alaska(10/18/2023)
RR
Arizona(10/18/2023)
RR
Arkansas(10/18/2023)
RR
California(10/18/2023)
RR
Colorado(10/18/2023)
RR
Connecticut(10/18/2023)
RR
Delaware(10/18/2023)
RR
District of Columbia(10/18/2023)
RR
Florida(10/18/2023)
RR
Georgia(10/18/2023)
RR
Hawaii(10/18/2023)
RR
Idaho(10/18/2023)
RR
Illinois(10/18/2023)
RR
Indiana(10/18/2023)
RR
Iowa(10/18/2023)
RR
Kansas(10/18/2023)
RR
Kentucky(10/18/2023)
RR
Louisiana(10/18/2023)
RR
Maine(10/18/2023)
RR
Maryland(10/18/2023)
RR
Massachusetts(10/18/2023)
RR
Michigan(10/18/2023)
RR
Minnesota(10/18/2023)
RR
Mississippi(10/18/2023)
RR
Missouri(10/18/2023)
RR
Montana(10/18/2023)
RR
Nebraska(10/18/2023)
RR
Nevada(10/18/2023)
RR
New Hampshire(10/18/2023)
RR
New Jersey(10/18/2023)
RR
New Mexico(10/18/2023)
RR
New York(12/12/2022)
RR
North Carolina(10/18/2023)
RR
North Dakota(10/18/2023)
RR
Ohio(10/18/2023)
RR
Oklahoma(10/18/2023)
RR
Oregon(10/18/2023)
RR
Pennsylvania(10/18/2023)
RR
Puerto Rico(10/18/2023)
RR
Rhode Island(10/18/2023)
RR
South Carolina(10/18/2023)
RR
South Dakota(10/18/2023)
RR
Tennessee(10/18/2023)
RR
Texas(10/18/2023)
RR
Utah(10/18/2023)
RR
Vermont(10/18/2023)
RR
Virginia(10/18/2023)
RR
Washington(10/18/2023)
RR
West Virginia(10/18/2023)
RR
Wisconsin(10/18/2023)
RR
Wyoming(10/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/28/2022
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
R&
ROOSEVELT & CROSS, INCORPORATED
ROOSEVELT & CROSS, INCORPORATED
CRD#: 6964 / SEC#: , 8-19363
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 Broadway 22nd Fl, New York, NY, 10006
Mailing Address
55 Broadway 22nd Fl, New York, NY, 10006
Phone number
(212) 344-2500
Established
New York since 04/19/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FARAWELL, JOHN MADDEN | DIRECTOR | 1018554 |
| FINN, FRANCIS GREGORY | CHAIRMAN OF THE BOARD | 1019346 |
| BRENNAN, ELAINE MARIE | DIRECTOR | 720043 |
| HALLER, JOSEPH CROSS | DIRECTOR | 4826263 |
| MONAHAN, SCOTT THOMAS | DIRECTOR | 4882785 |
| STAVITSKI, CHARLES CLEMENT | CEO | 5435642 |
| WAGNER, DAVID CHARLES | DIRECTOR | 4249755 |
| WELSH, WILLIAM WALTER | 5% OWNER | 1602929 |
| CAWLEY, KATHLEEN | CCO | 1129804 |
| MOORE, DAVID WILLIAM | COO/SENIOR VICE PRESIDENT | 2209528 |
| SAKOL, DANIEL SCOTT | FINOP | 2813237 |
Disclosures
| Regulatory Event | 4 |
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.
