Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dawn? Claim Your ProfileDawn Inez Castro is a Registered Representative associated with Stifel, Nicolaus & Company, Inc., located in Hackensack, NJ. Dawn is also a Registered Investment Advisor. Dawn has been in the financial services industry since March 14, 1999. Dawn has passed the Series 7, Series 63, Series 66, and SIE exams. Dawn has registrations with the following states: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Kentucky, Maine, Maryland, Massachusetts, Michigan, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, Tennessee, Texas, Utah, Vermont, Virginia, Washington, and Wisconsin.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NJ
07/30/2019 - Present
Stifel, Nicolaus & Company, Inc. (HACKENSACK NJ)
NJ
03/09/2002 - 08/07/2019
RBC CAPITAL MARKETS, LLC (PARAMUS NJ)
MA
09/01/1999 - 03/09/2002
TUCKER ANTHONY INCORPORATED (BOSTON MA)
NJ
03/15/1999 - 09/01/1999
GIBRALTAR SECURITIES CO. (FLORHAM PARK NJ)
BOTH
Issued 08/10/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/14/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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