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Arthur Castro is a registered investment advisor, based in Orange, CA, with 28 years of industry experience. Arthur is also registered as a broker, so some compensation may come from commissions on products sold.
Location
7429 E. White Oak Ridge, Orange, CA, 92869
Get directionsHistory
Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2007Denied
Customer Dispute
March 2004Settled
Customer Dispute
April 2002Closed-No Action
Customer Dispute
July 2001Settled
Other Business ActivitiesSells Insurance
Arthur is an insurance agent since 2003, dedicating a few hours per week to insurance sales. He also works as a snowsports instructor trainer and is the president of Cowan Hills Homeowners Association, as well as president of Summit & Surf Management, Inc.
Employment History
Current Registrations
J.W. Cole Financial, INC.Broker
August 2013 - Present · 13 yrs 2 mos
J. W. Cole Advisors, INC.
August 2013 - Present · 13 yrs 2 mos
Previous Registrations
Girard Securities, INC.
May 2012 - July 2013 · 1 yr 2 mos
Girard Securities, INC.Broker
April 2012 - July 2013 · 1 yr 3 mos
Western Equity Group, INC.Broker
April 2006 - April 2012 · 6 yrs
Western Equity Group, INC.
April 2006 - April 2012 · 6 yrs
Banc of America Investment Services, INC.
December 2003 - March 2006 · 2 yrs 3 mos
Banc of America Investment Services, INC.Broker
December 2003 - March 2006 · 2 yrs 3 mos
Merrill Lynch Pierce Fenner & Smith INC.
May 2000 - January 2004 · 3 yrs 8 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2000 - January 2004 · 3 yrs 8 mos
Dean Witter Reynolds INC.Broker
February 1998 - May 2000 · 2 yrs 3 mos
State Registrations9 states
AZCACOHIIDNVORUTWA
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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