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Detailed Report
LEOPOLDO FIDENCIO CASTRO
LEO CASTRO
CRD#: 1882893
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 109 SOUTH HARRIS STREET
SUITE 220
ROUND ROCK, TX 78664
Registration History
199019952000200520102015202020252 FIRMS1989 - 2002 (12 years)2 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - 2025 (8 years)2 FIRMS2025 - Present (<1 year)BNEW ENGLAND SECURITIES (CRD# 615)2005 - 2015 (9 years)BMONY SECURITIES CORPORATION (CRD# 4386)2002 - 2005 (2 years)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2008 - 2015 (6 years)
Disclosure(s)
View By:
12/7/2007
Customer Dispute
Settled
License(s)

State Registrations

B
Texas 1/24/2025
IA
Texas 1/24/2025

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
OSAIC WEALTH, INC. (CRD#:23131)
109 SOUTH HARRIS STREET SUITE 220, ROUND ROCK, TX 78664
Registered with this firm since 1/24/2025
B
OSAIC WEALTH, INC. (CRD#:23131)
109 SOUTH HARRIS STREET SUITE 220, ROUND ROCK, TX 78664
Registered with this firm since 1/24/2025
Previous Registration(s)
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IA
 02/09/2016 - 01/24/2025 OSAIC FS, INC. (CRD#:3870) ROUND ROCK, TX
B
 02/09/2016 - 01/24/2025 OSAIC FS, INC. (CRD#:3870) ROUND ROCK, TX
IA
 01/02/2015 - 02/11/2016 METLIFE SECURITIES INC. (CRD#:14251) MCALLEN, TX
B
 01/02/2015 - 02/11/2016 METLIFE SECURITIES INC. (CRD#:14251) MCALLEN, TX
IA
 04/24/2008 - 01/02/2015 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) MCALLEN, TX
B
 05/05/2005 - 01/02/2015 NEW ENGLAND SECURITIES (CRD#:615) MCALLEN, TX
B
 08/19/2002 - 04/15/2005 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
B
 10/09/1989 - 08/20/2002 METLIFE SECURITIES INC. (CRD#:14251) SPRINGFIELD, MA
B
 10/09/1989 - 08/20/2002 METROPOLITAN LIFE INSURANCE COMPANY (CRD#:4095) NEW YORK, NY
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.