Individual Firm
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DANIEL FORD CASTINO
CRD#: 2196033
IA
B
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCCRD#: 2881 5215 OLD ORCHARD ROAD
SUITE 1200
SKOKIE, IL 60077
SUITE 1200
SKOKIE, IL 60077
View By:
7/14/2017
Customer Dispute
Denied
State Registrations
B
Arizona 8/9/2018
B
Missouri 1/1/2002
B
California 1/1/2002
B
Nebraska 7/1/2011
B
Colorado 8/26/2003
B
New Jersey 8/21/2006
B
Connecticut 1/1/2002
B
New York 5/1/2002
B
Delaware 2/4/2020
B
North Carolina 1/15/2008
B
Florida 10/21/2004
B
Ohio 1/1/2002
B
Georgia 4/29/2020
B
Oregon 7/15/2003
B
Illinois 1/1/2002
B
Pennsylvania 5/1/2008
IA
Illinois 12/12/2003
B
South Carolina 5/20/2013
B
Indiana 1/1/2002
B
Tennessee 4/4/2018
B
Kansas 10/20/2009
B
Texas 1/1/2002
B
Maryland 2/24/2022
B
Vermont 11/2/2012
B
Massachusetts 1/2/2013
B
Virginia 8/19/2013
B
Michigan 1/1/2002
B
Washington 4/26/2021
B
Minnesota 2/29/2012
B
Wisconsin 1/1/2002
SRO Registrations
B
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IA
Registered with this firm since 12/12/2003
B
Registered with this firm since 1/23/1992
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/03/2003 - 04/30/2007 | MILWAUKEE, WI | |
B | 05/02/1997 - 01/01/2002 | MILWAUKEE, WI | |
B | 02/21/1997 - 04/25/1997 | SPRINGFIELD, MA | |
B | 01/23/1992 - 02/21/1997 | MILWAUKEE, WI |
MILWAUKEE, WI
09/03/2003 - 04/30/2007
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.