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R Mark Castle

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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 633 registered representatives nationwide. R has held an industry securities registration for 16 years and is subject to SEC and FINRA oversight.

Advisor Timeline

No timeline events available.
Experience
EmployerYearsDates
Stephens Inc 2 years Sep 2012 - Present
Morgan Stanley Smith Barney 3 years, 3 months Jun 2009 - Sep 2012
Citigroup Global Markets Inc. 11 years, 4 months May 2001 - Sep 2012
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 09/05/1998
Uniform Securities Agent State Law ExaminationSeries 63 08/31/1998

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.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
09/10/2014
09/14/2014
*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.

Firm Compensation Arrangements

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Types of Compensation Arrangements

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