Arthur Alexander Castro

Employer firm

J. W. Cole Advisors, Inc. CRD 112294

$8.25B regulatory AUM 1,971 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Selection of other advisers
• Educational seminars
• HOURLY & FIXED RATE CONSULTING

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

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2013 → Present
  J.W. Cole Financial, Inc.
  Tampa, FL
• 07/2013 → Present
  J.W. Cole Advisors, Inc.
  Tampa, FL

Previous Registrations

• 2012-05-25 → 2013-07-31
  Girard Securities, Inc.
  San Diego, CA
  Tustin, CA
• 2006-04-18 → 2012-04-17
  Modern Capital Securities Inc.
  Raleigh, NC
• 2003-12-12 → 2006-03-23
  Banc Of America Investment Services, Inc.
  Orange, CA
• 2000-05-15 → 2004-01-08
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Santa Ana, CA

Other Businesses

(1) ARTHUR CASTRO INSURANCE AGENT; NOT INVESTMENT RELATED; BRANCH OFFICE ADDRESS; INSURANCE SALES; SALES AGENT; SINCE 2003; 10 HRS/MONTH; NONE DURING SECURITIES TRADING HOURS; ONLY DUTIES ARE AS APPOINTED SALES AGENT. (2) PROFESSIONAL SKI INSTRUCTORS OF AMERICA (PSIA) /AMERICAN ASSOCIATION OF SNOWBOARD INSTRUCTORS (AASI) GIVING CLINICS AND EXAMS ON WEEKENDS DURING THE WINTER MONTHS. (3) MEMBER OF THE BOARD OF DIRECTORS OF COWAN HILLS HOMEOWNERS ASSOCIATION SERVING AS PRESIDENT NON-COMPENSATED POSITION DURING NON MARKET HOURS. (4) SUMMIT AND SURF WEALTH MANAGEMENT; DBA FOR SECURITIES BUSINESS. (5) Big Bear Mountain Resort; Not investment related; 8800 Summit Blvd, Suite A, Big Bear Lake, CA 92315; Snowsports Instructor Trainer; Start 1/6/24; 10 hours/month during trading hours. (6) Summit & Surf Management, Inc; S-Corp for business for tax purposes; 7429 E White Oak Ridge, Orange, CA 92869; President; Start 8/24/16; 32.5 hours/month during trading.

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-03-13
• S63 Uniform Securities Agent State Law Examination
  1998-02-26

Other Names

• Artie Castro