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Detailed Report
RONALD ALLEN CASTLETON
CRD#: 1343160
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 1 ORCHARD ROAD
SUITE 130
LAKE FOREST, CA 92630
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 1 ORCHARD ROAD
SUITE 130
LAKE FOREST, CA 92630
Registration History
1985199019952000200520102015202020252 FIRMS2000 - 2003 (2 years)IARAYMOND JAMES FINANCIAL SERVIC... (CRD# 149018)2009 - Present (16 years)BRAYMOND JAMES FINANCIAL SERVIC... (CRD# 6694)2003 - Present (21 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1985 - 2000 (15 years)IARAYMOND JAMES FINANCIAL SERVICES (CRD# 6694)2003 - 2009 (5 years)
License(s)

State Registrations

B
Alaska 7/5/2016
B
Missouri 2/25/2020
B
Arizona 8/3/2006
B
Montana 10/13/2016
B
Arkansas 7/22/2016
B
Nevada 3/15/2004
B
California 5/23/2003
B
New Hampshire 5/23/2003
IA
California 1/2/2009
B
New Jersey 3/7/2014
B
Colorado 5/23/2003
B
New Mexico 4/1/2005
B
Connecticut 2/16/2018
IA
New Mexico 9/14/2012
B
Florida 4/2/2015
B
New York 5/23/2003
B
Georgia 3/7/2014
B
North Carolina 6/7/2016
B
Hawaii 1/2/2014
B
Ohio 1/2/2013
B
Idaho 7/16/2021
B
Oklahoma 5/5/2021
B
Illinois 1/2/2015
B
Oregon 5/23/2003
B
Indiana 8/31/2016
B
Pennsylvania 11/2/2015
B
Iowa 6/3/2016
B
South Carolina 1/27/2020
B
Kansas 2/16/2022
B
Tennessee 7/26/2024
B
Kentucky 1/11/2023
B
Texas 3/7/2014
B
Louisiana 7/22/2022
IA
Texas 10/10/2022
B
Maine 7/16/2021
B
Utah 4/28/2021
B
Maryland 2/28/2022
B
Virgin Islands 7/26/2024
B
Massachusetts 5/23/2003
B
Virginia 1/3/2020
B
Minnesota 7/16/2003
B
Washington 3/7/2014
B
Mississippi 5/25/2021
B
Wyoming 11/2/2015

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
1 ORCHARD ROAD SUITE 130, LAKE FOREST, CA 92630
Registered with this firm since 1/2/2009
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
1 ORCHARD ROAD SUITE 130, LAKE FOREST, CA 92630
Registered with this firm since 5/23/2003
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 05/29/2003 - 01/02/2009 RAYMOND JAMES FINANCIAL SERVICES (CRD#:6694) NEWPORT BEACH, CA
IA
 11/20/2000 - 05/29/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEWPORT BEACH, CA
B
 11/09/2000 - 05/29/2003 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
 04/08/1985 - 11/30/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.