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Dane Mark Castle

Osaic Institutions, Inc.

Meriden, CT

Osaic Wealth, Inc.

Scottsdale, AZ

CRD 2825522

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Employer firm

Osaic Institutions, Inc. CRD 35371

$6.49B regulatory AUM 7 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars
  • SOLICITATION SERVICES FOR OTHER ADVISERS

From the firm’s Form ADV. Read the guides:

Current Employers
Osaic Institutions, Inc.

538 Preston Avenue, Meriden, CT 06450-4858 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2026-07-01
  • NV RA
    APPROVED
    Since 2026-07-01

Branch Locations

538 Preston Avenue, Meriden, CT 06450-4858 • UNITED STATES

Osaic Wealth, Inc.

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2023-09-01
GA RA APPROVED 2021-11-22
  • NV RA
    APPROVED
    Since 2023-09-01
  • GA RA
    APPROVED
    Since 2021-11-22

Branch Locations

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255 • 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
E*Trade Securities Llc Alpharetta GA 02/2016 10/2016
Fsc Securities Corporation Atlanta GA 06/2018 Present
Bank Of America Atlanta GA 11/2016 06/2018
Osaic Wealth, Inc. Jersey City NJ 09/2023 Present
  • 02/2016 → 10/2016
    E*Trade Securities Llc
    Alpharetta, GA
  • 06/2018 → Present
    Fsc Securities Corporation
    Atlanta, GA
  • 11/2016 → 06/2018
    Bank Of America
    Atlanta, GA
  • 09/2023 → Present
    Osaic Wealth, Inc.
    Jersey City, NJ
Previous Registrations
  • 2021-11-22 → 2024-01-19
    Woodbury Financial Services, Inc.
    Oakdale, MN
  • 2019-11-20 → 2023-11-03
    Fsc Securities Corporation
    Atlanta, GA
  • 2021-12-01 → 2023-09-01
    Osaic Services, Inc.
    Scottsdale, AZ
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-06
S63 Uniform Securities Agent State Law Examination 2016-03-21
  • S65 Uniform Investment Adviser Law Examination
    2019-09-06
  • S63 Uniform Securities Agent State Law Examination
    2016-03-21
Other Names
  • Dane M Castle

View on SEC IAPD

Nearby Firms

OSAIC INSTITUTIONS, INC.
CETERA INVESTMENT ADVISERS LLC
BROOKSTONE WEALTH ADVISORS, LLC

Nearby Investors

JEANETTE FUNG CHUNG
DENISE ELIZABETH MATHEWS
RAJU T PUNNOOSE

Nearby Offices

OSAIC INSTITUTIONS, INC. · MERIDEN, CT
OSAIC INSTITUTIONS, INC. · MERIDEN, CT
CETERA INVESTMENT ADVISERS LLC · MERIDEN, CT

More in Meriden, CT

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