Alphonse A. Procaccino

CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES

Fair Haven, NJ 07704

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CRD#: 715731

Professional summary

Alphonse Albert Procaccino, CFP®, who also goes by Al Procaccino II, Alphonse Albert Procaccino Jr, is a registered financial advisor currently at CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC located in Fair Haven, New Jersey and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Alphonse is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Alphonse has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 7 and Series 24 exams.

Question & Answer

What are your service offerings?

Insurance Planning

Comprehensive Financial Planni...

Investment Planning

Retirement Planning

Estate Planning

Business Succession Planning

Are you a "fiduciary"?

Yes

Aliases

Al Procaccino Ii | Alphonse Albert Procaccino Jr

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.

1.) CASTLE FINANCIAL & RETIREMENT PLANNING ASSOC - 6/3/92 - 704 River Road, Suite 208, Fair Haven, NJ 07704 - President, CCO & IAR, Sales/run agency, Invt Rel, Insurance & IAR business, 160 hrs/mo; 160 hrs/mo (during trading hours). 2.) REYNOLDS BENEFITS - 4/15/25 - 740 River Road, Suite 208, Fair Haven, NJ 07704 - Investment Advisory & Financial Planning, Invt advisory & fin planning, Invt Rel, Insurance business, 5 hrs/mo; 5 hrs/mo (during trading hours).

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alphonse Albert Procaccino'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

Start date: 1992

Experience

Current

January 9, 2007 - Present

CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC

Office #1: 740 River Road Suite 208 & 209, Fair Haven, NJ 07704

RIA

CRD#: 107865

Fair Haven, NJ

Current

March 31, 2025 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 37157

SUMMIT, NJ

Past

June 9, 2021 - April 1, 2025

MODERN CAPITAL SECURITIES INC.

CRD#: 130876

RALEIGH, NC

Past

June 2, 2017 - December 31, 2020

IMST DISTRIBUTORS, LLC

CRD#: 130745

Fair Haven, NJ

Past

January 5, 1998 - December 31, 2015

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

HAZLET, NJ

Past

June 11, 1993 - December 31, 2015

CADARET, GRANT & CO., INC.

CRD#: 10641

HAZLET, NJ

Past

July 2, 1992 - June 15, 1993

BUCKMAN, BUCKMAN & REID, INC.

CRD#: 23407

LITTLE SILVER, NJ

Past

June 20, 1989 - July 1, 1992

FINANCIAL SQUARE PARTNERS

CRD#: 1541

NEW YORK, NY

Past

November 28, 1984 - July 25, 1989

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 16, 1980 - December 7, 1984

MORGAN STANLEY DW INC.

CRD#: 7556

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".

CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC

CASTLE FINANCIAL | CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC

CRD#: 107865 / SEC#: 801-79218

RIA

Registered Investment Advisory firm - (2/19/2014 Approved)

Florida

Registered Investment Advisory firm - (10/13/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (3/6/2014 Terminated)

New York

Registered Investment Advisory firm - (3/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/14/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/13/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

IAR

Florida
(1/10/2007)

Florida
(3/31/2025)

IAR

New Jersey
(1/9/2007)

New Jersey
(3/31/2025)

New Mexico
(7/18/2025)

IAR

New York
(8/2/2021)

New York
(3/31/2025)

IAR

Texas
(2/24/2009)

Texas
(3/31/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/30/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 2/16/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/30/1996

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC

CASTLE FINANCIAL | CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC

CRD#: 107865 / SEC#: 801-79218

RIA

Registered Investment Advisory firm - (2/19/2014 Approved)

Florida

Registered Investment Advisory firm - (10/13/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (3/6/2014 Terminated)

New York

Registered Investment Advisory firm - (3/7/2014 Terminated)

Pennsylvania

Registered Investment Advisory firm - (10/14/2015 Terminated)

Texas

Registered Investment Advisory firm - (10/13/2015 Terminated)

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Contact information

Main Address

740 River Road Suite 208 & 209, Fair Haven, NJ 07704

Mailing Address

Phone number

(732) 888-4994

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

FORM ADV PART 2A (10/16/2025)

Regulatory assets under management

Total Number of Accounts	373
AUM (Assets Under Management)	$ 105,190,836

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.

Contact information

xxxxx@xxxx.xxx

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Alphonse A. Procaccino

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alphonse Albert Procaccino's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE LEADERS GROUP, INC.

MODERN CAPITAL SECURITIES INC.

IMST DISTRIBUTORS, LLC

CADARET, GRANT & CO., INC.

CADARET, GRANT & CO., INC.

BUCKMAN, BUCKMAN & REID, INC.

FINANCIAL SQUARE PARTNERS

CIBC WORLD MARKETS CORP.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/21/1999

Series 63

Date: 6/30/1981

SIE

Date: 10/1/2018

Series 5

Date: 12/11/1982

Series 7

Date: 2/16/1980

Series 24

Date: 5/30/1996

FINRA

Current Firm

CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CASTLE FINANCIAL & RETIREMENT PLANNING ASSOCIATES INC

TRUST BUT VERIFY

Contact information

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