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Robert A Castanares

LPl Financial LLC

Oak Brook, IL

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2026-07-13
IL RA APPROVED 2023-05-05
  • TX RA
    APPROVED_RES
    Since 2026-07-13
  • IL RA
    APPROVED
    Since 2023-05-05

Branch Locations

700 Commerce Drive, Suite 500, Oak Brook, IL 60523 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Chicago IL 10/2012 05/2023
Lpl Financial Llc Downers Grove IL 05/2023 Present
Previous Registrations
  • 2012-10-01 → 2023-05-06
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2005-10-25 → 2012-10-01
    Chase Investment Services Corp.
    Chicago, IL
    Chicago, IL
Other Businesses

1) 5/2023 - PWA Insurance Services / Non-Variable Insurance / Investment Related / DOWNERS GROVE, IL / Start date 05/05/2023 - 2) 5/2023 - Condo / Real Estate Rental / Investment Related / Chicago, IL / Start date 09/01/2010 - 1 Hrs per month 3) 5/2023 - PWA Financial Services / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 4) 5/2023 - PWA / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 5) 5/2023 - Professional Wealth Advisors / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 6) 10/02/2024 - Hagen Advisory LLC - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 05/16/2023 - 40 Hours Per Month/ During Trading 7) 01/29/2025 - Hagen Tax Advisory - Investment Related - Tax Prep/Accounting/CPA - At Reported Business Location(s) - Start Date:02/18/2025 - 2 Hrs/Mth - 0 Hrs During Trading. 8) 03/11/2025 - Hagen Consulting - Investment Related - DBA for LPL Business (entity for LPL business) - At Reported Business Location(s) - Start Date:02/24/2025 - 4 Hrs/Mth - 0 Hrs During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-10-20
S63 Uniform Securities Agent State Law Examination 2000-07-28
  • S65 Uniform Investment Adviser Law Examination
    2005-10-20
  • S63 Uniform Securities Agent State Law Examination
    2000-07-28
Other Names
  • Robert Alan Castanares

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