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Matthew Castaldi

SEALY INVESTMENT SECURITIES
DALLAS, TX 75206
Some features on this profile are disabled
CRD#: 7850849
MC

Professional summary

Matthew Castaldi is a registered financial professional currently at SEALY INVESTMENT SECURITIES, LLC located in Dallas, Texas.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2024. Matthew has worked at 1 firm and has passed the Series 63, Series 7TO and SIE 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 Matthew Castaldi'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®
None

Experience

Current

May 20, 2024 - Present

SEALY INVESTMENT SECURITIES, LLC

Office #1: 5910 N. Central Expressway Suite 1700, Dallas, TX 75206
BD
CRD#: 300691
DALLAS, TX

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
Texas
(9/16/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 9/16/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/18/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/24/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

SI
SEALY INVESTMENT SECURITIES, LLC
SEALY INVESTMENT SECURITIES, LLC

CRD#: 300691 / SEC#: , 8-70340

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

Main Address
5910 N. Central Expressway, Suite 1700, Dallas, TX 75206
Mailing Address
5910 N. Central Expressway, Suite 1700, Dallas, TX 75206
Phone number
(714) 812-1668
Established
Georgia since 12/19/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
SEALY & COMPANY, LLCDIRECT OWNER
BARAUSKY, PAUL MICHAELCHIEF DISTRIBUTION OFFICER2104993
CARTER, ANA ROUMENOVAFINOP, PFO, POO4424794
JACKSON, PETER LYNNPRESIDENT & CEO4276062
MARTIN, CHRISTINA MARIECHIEF COMPLIANCE OFFICER6228852

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

SEALY INVESTMENT SECURITIES, LLC

CRD#: 300691Dallas, TX 75206

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