Steven Castro, financial advisor Arlington TX
18 score

Steven Castro

CRD Number: 4578029
Current Firm: Capital Markets Iq, LLC

Steven Castro (CRD# 4578029) is an Investment Advisor Representative working at Capital Markets Iq, LLC in Arlington, TX and has over 15 years of experience in the finance industry.

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Company Name Location Dates Years
Capital Markets Iq Wilmington, DE Jul 2017 - Current < 1
Concert Wealth Management, Inc. San Jose, CA Jun 2012 - Jul 2017 5
Unemployed Chandler, AZ Oct 2011 - Jun 2012 < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mesa, AZ Oct 2009 - Oct 2011 2
Banc Of America Insurance Services, Inc. Chandler, AZ Mar 2006 - Oct 2011 5
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Nov 2002
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
  • Regulatory Event
  • Criminal Record
Get Details on the FINRA Advisor Check site
Contact Info for Steven B. Castro
Phone Number: 310.882.6380
Registered State(s):
  • AZ
By the Numbers
  • Total Assets Under Management
    254
    MILLIONS
  • Total Number of Accounts
    627
    ACCOUNTS
  • Average Account Value
    $405,220
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Performance-based fees
  • Other
Advisory Services Offered
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Other
Types of Clients
Registered States

AR, AZ, CA, CO, DE, FL, GA, IL, LA, MA, MD, MI, MO, NC, NE, NH, PA, TN, TX, VA

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BADGES
18

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