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Information

Other Names: Mark Castle, R.Mark Castle, R.Mark Markel Castle ...(see more)
Firm:
Type: Dual Registration
Description

R Castle is a financial professional at Stephens, a broker-dealer with 619 registered representatives nationwide. R has held an industry securities registration for 15 years and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

R Mark Castle has not answered any questions on Financial Q&A.

Top Guides

R Mark Castle has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Other
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Stephens Inc 1 year, 7 months Sep 2012 - Present
Morgan Stanley Smith Banrey Venture Services LLC 3 years, 3 months Jun 2009 - Sep 2012
Citigroup Global Markets Inc. 11 years, 4 months May 2001 - Sep 2012
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 04/16/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
04/16/2013
09/20/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Futures Managed Funds Examination Series 31 11/29/2010
Uniform Investment Adviser Law Examination Series 65 09/05/1998
Uniform Securities Agent State Law Examination Series 63 08/31/1998
General Securities Representative Examination Series 7 08/08/1998

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions
  • Performance-based Fees