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FRANK ANTHONY CASTRO
CRD#: 1914036
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 3 Manhattanville Road
Suite 210
Purchase, NY 10577
Registration History
199019952000200520102015202020252 FIRMS2007 - 2007 (<1 year)2 FIRMS2007 - Present (17 years)BMORGAN STANLEY DW INC. (CRD# 7556)1994 - 2007 (12 years)BPRUDENTIAL SECURITIES INCORPORATED (CRD# 7471)1992 - 1994 (2 years)BROBERT THOMAS SECURITIES, INC (CRD# 10147)1989 - 1992 (2 years)IAMORGAN STANLEY (CRD# 7556)2006 - 2007 (<1 year)
License(s)

State Registrations

B
Arizona 8/21/2018

IA
Nevada 7/8/2024

B
Arkansas 7/10/2024

B
New Jersey 7/12/2007

B
California 7/12/2007

B
New Mexico 3/1/2019

B
Colorado 5/26/2020

B
New York 7/12/2007

IA
Colorado 11/2/2021

IA
New York 10/26/2021

B
Connecticut 7/12/2007

B
North Carolina 7/12/2007

B
Delaware 3/14/2022

B
Ohio 3/14/2022

B
District of Columbia 1/6/2020

B
Oregon 12/15/2008

B
Florida 7/12/2007

B
Pennsylvania 7/12/2007

B
Georgia 7/12/2007

B
Rhode Island 5/6/2020

B
Illinois 3/31/2022

B
South Carolina 8/15/2018

B
Louisiana 8/28/2007

B
Tennessee 1/21/2015

B
Maryland 7/12/2007

IA
Texas 7/12/2007

B
Massachusetts 7/12/2007

B
Texas 9/15/2022

B
Michigan 6/17/2014

B
Virginia 7/12/2007

B
Minnesota 1/26/2018

B
Washington 1/29/2015

B
Nevada 7/12/2007

SRO Registrations

B
BOX Exchange LLC

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3 Manhattanville Road Suite 210, Purchase, NY 10577
Estes Park, CO
Registered with this firm since 7/12/2007

B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
3 Manhattanville Road Suite 210, Purchase, NY 10577
Estes Park, CO
Registered with this firm since 7/12/2007

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
04/02/2007 - 07/13/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) MT. KISKO, NY
B
04/02/2007 - 07/13/2007 MORGAN STANLEY & CO., INCORPORATED (CRD#:8209) MT. KISKO, NY
IA
09/08/2006 - 04/02/2007 MORGAN STANLEY (CRD#:7556) MT. KISKO, NY
B
05/31/1994 - 04/02/2007 MORGAN STANLEY DW INC. (CRD#:7556) MT. KISKO, NY
B
01/02/1992 - 06/01/1994 PRUDENTIAL SECURITIES INCORPORATED (CRD#:7471) NEW YORK, NY
B
02/14/1989 - 01/14/1992 ROBERT THOMAS SECURITIES, INC (CRD#:10147) ST. PETERSBURG, FL
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B
Broker
IA
Investment Adviser
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.