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Sharon Marie Castro

Nuveen Securities, LLC

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About Sharon Marie Castro

Sharon Marie Castro is a financial professional with over 20 years of experience in the industry. Sharon is currently registered with Nuveen Securities, LLC in California. Prior to her current role, Sharon has held positions at several other firms, including Professional Funds Distributor, LLC, PFPC Distributors, Inc., EBI Securities Corporation, and CIBC Wood Gundy Securities Corp. Sharon holds a variety of licenses and certifications, including Series 7, 24, 63, and 65, as well as the SIE exam.

Firm Information

Sharon Castro is currently registered with Nuveen Securities, LLC. Nuveen Securities, LLC is a Limited Liability Company formed in September 1967. The firm is registered in 53 states and has one SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

66

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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Sharon Castro’s Registration & Firm History

CA

02/05/2009 - Present

Nuveen Securities, LLC (LOS ANGELES CA)

CA

01/03/2005 - 02/02/2007

PROFESSIONAL FUNDS DISTRIBUTOR, LLC (SANTA MONICA CA)

ME

06/08/2001 - 12/31/2004

PFPC DISTRIBUTORS, INC. (PORTLAND ME)

CO

04/28/1998 - 07/07/1999

EBI SECURITIES CORPORATION (ENGLEWOOD CO)

NY

07/09/1996 - 04/14/1997

CIBC WOOD GUNDY SECURITIES CORP. (NEW YORK NY)

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Licenses & Designations

IA

Issued 07/06/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/30/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/21/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/08/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sharon Marie Castro.
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