Diana C. Castro

GOODMAN FINANCIAL

Houston, TX 77056

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CRD#: 6974335

Professional summary

Diana Cristina Castro, CFP® is a registered financial advisor currently at GOODMAN FINANCIAL CORPORATION located in Houston, Texas.

Diana is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2020. Diana has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Diana Cristina Castro'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®

CFP^®

Certified Financial Planner

Experience

Current

October 21, 2020 - Present

GOODMAN FINANCIAL CORPORATION

Office #1: 5177 Richmond Ave Suite 700, Houston, TX 77056

RIA

CRD#: 114637

Houston, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GOODMAN FINANCIAL CORPORATION

CRD#: 114637 / SEC#: 801-61260

RIA

Registered Investment Advisory firm - (6/21/2002 Approved)

Texas

Registered Investment Advisory firm - (3/9/1998 Cancelled)

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

Texas
(10/21/2020)

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: 10/20/2020

Uniform Investment Adviser Law Examination

Current Firm

GOODMAN FINANCIAL CORPORATION

CRD#: 114637 / SEC#: 801-61260

RIA

Registered Investment Advisory firm - (6/21/2002 Approved)

Texas

Registered Investment Advisory firm - (3/9/1998 Cancelled)

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Contact information

Main Address

5177 Richmond Avenue Suite 700, Houston, TX 77056

Mailing Address

Phone number

(713) 599-1777

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOODMAN FINANCIAL ADV PART 2A BROCHURE (4/11/2025)

Regulatory assets under management

Total Number of Accounts	925
AUM (Assets Under Management)	$ 864,940,094

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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Diana C. Castro

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Diana Cristina Castro's CRS (Customer Relationship Summary).

Certified licenses

Experience

GOODMAN FINANCIAL CORPORATION

Primary Firm SEC Registration

GOODMAN FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 10/20/2020

Current Firm

GOODMAN FINANCIAL CORPORATION

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GOODMAN FINANCIAL CORPORATION

TRUST BUT VERIFY

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