TrueAdvisor
TrueAdvisor
SC
SC

Steven Castro

Exos Wealth Strategies, LLC
22 Years of Experience
Chandler, AZ
5 DisclosuresSells Insurance
View SEC Summary
View SEC Summary

Steven Castro is a registered investment advisor at Exos Wealth Strategies, LLC, based in Chandler, AZ, with 22 years of industry experience. Steven operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, High Net Worth, Insurance Planning, Investment Management, and 2 more. Their firm serves 62 clients with $30M in assets under management.

Exos Wealth Strategies, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
62 clients
Average Client Portfolio
$486K average
Assets Under Management
$30.1M

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M1.00%
$1.0M - $1.5M0.80%
$1.5M - $2.5M0.50%
$2.5M - $5.0M0.35%
$5M+0.35%

Schedule reflects bundled investment management and financial planning. Standalone investment management rates start at 0.90%. Fees are negotiable for amounts over $5 million.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Chandler, AZ

Get directions

History

Regulatory History (5)
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.
Regulatory
March 2013
Final
Regulatory
December 2012
Final
Criminal
November 2011
Final Disposition
Employment Separation After Allegations
October 2011
Customer Dispute
July 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Steven is an independent insurance agent since 2012, focusing on annuity and insurance sales. This activity takes about a quarter of his time, with some hours during trading hours.

Employment History
Current Registrations
Exos Wealth Strategies, LLC
October 2023 - Present · 3 yrs
Previous Registrations
Centric Advisors, LLC
January 2019 - December 2022 · 3 yrs 11 mos
Capital Markets Iq, LLC
October 2017 - March 2019 · 1 yr 5 mos
Concert Wealth Management
June 2012 - August 2017 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2009 - October 2011 · 2 yrs
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2009 - October 2011 · 2 yrs
Banc of America Investment Services, INC.
April 2006 - October 2009 · 3 yrs 6 mos
Banc of America Investment Services, INC.Broker
March 2006 - October 2009 · 3 yrs 7 mos
UBS Financial Services INC.
October 2005 - April 2006 · 6 mos
UBS Financial Services INC.Broker
October 2002 - April 2006 · 3 yrs 6 mos
State Registrations1 state
AZ
Advisor

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.
More Advisors
More financial advisors in Chandler, AZ →All financial advisors in Arizona →