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RS

Regan S. Sander

Some features on this profile are disabled
CRD#: 6955746
RS

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.

Regan Scott Sander was a registered financial professional .

Regan is a previously registered financial professional and started their career in finance in 2018. Regan had worked at 3 firms and has passed the Series 63, SIE, Series 82 and Series 79 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 15, 2021 - January 16, 2025

CASTLE PLACEMENT, LLC

BD
CRD#: 189511
Austin, TX
Past

March 25, 2020 - March 31, 2020

ENTORO INVESTMENTS, LLC

RIA
CRD#: 306790
HOUSTON, TX
Past

July 12, 2018 - April 1, 2020

ENTORO SECURITIES, LLC

BD
CRD#: 35192
HOUSTON, TX

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

State Security Law Exam
RR
Series 63
Date: 8/27/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 8/5/2018
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79
Date: 7/11/2018
Investment Banking Registered Representative Examination

Current Firm

CP
CASTLE PLACEMENT, LLC
CASTLE PLACEMENT, LLC

CRD#: 189511 / SEC#: , 8-69612

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

Main Address
1460 Broadway, New York, NY 10036
Mailing Address
1460 Broadway, New York, NY 10036
Phone number
(212) 418-1180
Established
Delaware since 03/13/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
CASTLE PLACEMENT GROUP LLCMEMBER
BEATON, DANIEL STEWARTFINOP4240769
LUFTIG, RICHARD STEVENCCO, EXEC REP, AML SUPERVISOR2391290
MARGOLIS, KENNETH HARRYMANAGER, HOME OFFICE SUPERVISOR2230861

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

CASTLE PLACEMENT, LLC

CRD#: 189511

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