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Samuel Joseph Castaneda

Castaneda Financial Management

Phoenix, AZ

CRD 5153177

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Employer firm

Castaneda Financial Management CRD 332892

$18.1M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Castaneda Financial Management

Phoenix, AZ • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-09-25
  • AZ RA
    APPROVED
    Since 2024-09-25

Branch Locations

11900 N 32Nd St Unit 15, Phoenix, AZ 85028 • 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
Lpl Financial Llc Scottsdale AZ 02/2015 01/2019
Arq Wealth Advisors, Llc Scottsdale CA 01/2019 Present
Castaneda Financial Management Llc Phoenix AZ 07/2024 Present
Previous Registrations
Other Businesses

independent licensed insurance agent

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2006-06-30
  • S63 Uniform Securities Agent State Law Examination
    2006-06-30
Designations
  • Certified Financial Planner
Other Names
  • Sam Castaneda
  • Samuel J Castaneda

View on SEC IAPD

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Nearby Investors

DAREN MICHAEL FRANKEBERGER
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Jamie L Morton

Nearby Offices

EW ADVISER, LLC · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PHOENIX, AZ

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