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Current Employers
Rbc Capital Markets, Llc

200 Vesey St., New York, NY 10281 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2019-03-13
PA RA APPROVED 2019-02-15
  • TX RA
    APPROVED_RES
    Since 2019-03-13
  • PA RA
    APPROVED
    Since 2019-02-15

Branch Locations

130 N. 18Th Street One Logan Square, 17Th Floor, Philadelphia, PA 19103-6933 • United States

Jeffersonville, PA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Philadelphia PA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Philadelphia PA 11/2016 06/2017
Wells Fargo Advisors Financial Network, Llc Fort Washington PA 06/2017 02/2019
Rbc Capital Markets, Llc. Philadelphia PA 02/2019 Present
Previous Registrations
Other Businesses

(1) NAME OF ENTITY: WILLIAMS-SONOMA INC; ADDRESS: 160 N GULPH SUITE 1932 KING OF PRUSSIA, PA 19403; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: RETAIL SALES; CAPACITY: EMPLOYEE; START DATE: 10/2019; DUTIES: COOKING CLASSES AND SALES; HOURS DEVOTED PER MONTH: 4-6; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0; (2) NAME OF ENTITY: Michael Castillo's Kitchen ADDRESS: 61 N Whitehall Rd. Jeffersonville, PA 19403 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Teaching cooking classes. CAPACITY: Independent Contractor/Consultant START DATE: 02/05/2024 DUTIES: Conducting cooking classes. HOURS DEVOTED PER MONTH: 2-4 hours every other week HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-26
S63 Uniform Securities Agent State Law Examination 1999-10-11
  • S65 Uniform Investment Adviser Law Examination
    2011-04-26
  • S63 Uniform Securities Agent State Law Examination
    1999-10-11
Other Names
  • Michael A. Castillo
  • Michael A Castillo

View on SEC IAPD

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