Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Anthony Castro is a registered representative with UBS Financial Services Inc. with over 30 years of experience in the financial services industry. Frank specializes in providing financial planning, portfolio management and educational seminars to individuals, businesses, pension and profit-sharing plans, and charitable organizations. Prior to joining UBS Financial Services Inc., Frank worked at Morgan Stanley & Co., Incorporated, Morgan Stanley DW Inc., Prudential Securities Incorporated, and Robert Thomas Securities, Inc. Frank is a highly experienced advisor with a strong track record of success.
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.
See schedule d - miscellaneous
1
2
NY
07/12/2007 - Present
UBS Financial Services Inc. (Purchase NY)
NY
04/02/2007 - 07/13/2007
MORGAN STANLEY & CO., INCORPORATED (MT. KISKO NY)
NY
05/31/1994 - 04/02/2007
MORGAN STANLEY DW INC. (MT. KISKO NY)
NY
01/02/1992 - 06/01/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
FL
02/14/1989 - 01/14/1992
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
IA
Issued 01/05/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/31/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/14/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/1995
Series 31 - Futures Managed Funds Examination
BC
Issued 02/11/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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