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730 Third Avenue, New York, NY 10017-3206 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-02-23 |
Branch Locations
9600 Great Hills Trail, Austin, TX 78759 • United States
Austin, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Bbva Securities Inc. | Houston | TX | 03/2018 | 10/2019 |
| Compass Bank | Birmingham | AL | 02/2018 | 10/2019 |
| Frost Brokerage Services Inc | Houston | TX | 08/2014 | 02/2018 |
| Frost Bank | Houston | TX | 06/2014 | 02/2018 |
| Bbva Compass Insurance Agency, Inc. | Austin | TX | 02/2018 | 10/2019 |
| Bbva Wealth Solutions Inc. | Houston | TX | 03/2018 | 10/2019 |
| Regions Bank | Houston | TX | 10/2019 | 10/2022 |
| Cetera Investment Advisers Llc | Houston | TX | 03/2021 | 10/2022 |
| Cetera Investment Services Llc | St. Cloud | MN | 03/2021 | 10/2022 |
| Merrill Lynch, Pierce, Fenner & Smith | Houston | TX | 10/2022 | 01/2024 |
| Bank Of America, N.A. | Houston | TX | 11/2022 | 01/2024 |
| Frost Investment Services | Houston | TX | 10/2017 | 02/2018 |
| Tiaa | Austin | TX | 01/2024 | Present |
| Tiaa-Cref Individual & Institutional Services, Llc | Austin | TX | 01/2024 | Present |
(1) Name: Castillo and Canales Holdings, LLC Position: Silent Partner Nature: Rental Property Holding Company Investment Related: Yes Hours: 1 Securities Trading Hours: 0 Start Date: 12/14/2018 Address: Home Address, Austin TX 78730, United States Description: Silent Partner (2) Name: Luis Felipe Castillo Position: N/A Nature: I receive royalty income from books published in Amazon.com Investment Related: Yes Hours: 5 Securities Trading Hours: 0 Start Date: 11/20/2023 Address: Home Address, Austin TX 78730, United States Description: Professional Writer
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-09-10 |
| S63 | Uniform Securities Agent State Law Examination | 2006-07-14 |
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