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Wildwood, MO • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2024-06-21 |
Branch Locations
3620 Walden Drive, Suite 201, Lexington, KY 40517 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fsc Securities Corporation | Lexington | KY | 12/2007 | 12/2020 |
| Southland Equity Partners Llc | Lexington | KY | 12/2020 | Present |
1. CORNERSTONE WEALTH MANAGEMENT POSITION: Other - Employee NATURE: DBA for Castillo and Associates, LLC INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/01/2004 ADDRESS: 3620 Walden Dr., Suite 201, Lexington KY 40517, United States DESCRIPTION: Operational support, registered rep in admin role at Cornerstone Wealth Management. 2. CASTILLO AND ASSOCIATES, LLC POSITION: Operations-Employee NATURE: This is the LLC that employees me and is owned by the rep I work for. His DBA for this LLC is Cornerstone Wealth Management. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/01/2004 ADDRESS: 3620 Walden Dr., Suite 201, Lexington KY 40517, United States DESCRIPTION: Operational support, registered assistant in admin role.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-06-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-10 |
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