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Dawn M Castro

Pershing LLC

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About Dawn M Castro

Dawn M Castro is a financial professional with over 10 years of experience in the industry. She has a Series 99 and a Securities Industry Essentials Examination. Dawn M Castro currently works with Pershing LLC in the New York, NY office.

Firm Information

Dawn Castro is currently registered with Pershing LLC. Pershing LLC is a Limited Liability Company formed in January 2003. The firm is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. They have one approved SEC registration and 53 approved state registrations.

Not reported

Assets Under Management

Not reported

Total Clients

692

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Dawn Castro’s Registration & Firm History

NY

10/25/2012 - Present

Pershing LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/24/2012

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dawn M Castro.
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