Richard R. Castellano
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.
Richard Robert Castellano was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2009 - September 17, 2018
MKM PARTNERS LLC
May 30, 1989 - January 17, 2008
MORGAN STANLEY & CO. LLC
April 24, 1986 - June 23, 1989
MORGAN STANLEY & CO. LLC
May 27, 1980 - May 7, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
June 19, 1978 - December 18, 1978
AMERICAN EXPRESS FINANCIAL CORPORATION
June 19, 1978 - December 18, 1978
AMERIPRISE FINANCIAL SERVICES, LLC
June 19, 1978 - December 18, 1978
IDS LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 6/8/1978
Registered Representative ExaminationSeries 8
Date: 2/25/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MKM PARTNERS LLC
CRD#: 114666 / SEC#: , 8-53436
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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