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Luis Felipe Castillo
LUIS FELIPE CASTILLO, LUIS FELIPE CASTILLO, Felipe Castillo, Luis F Castillo
CRD#: 5158192
IA
Investment Adviser
B
Broker
ADVICE AND PLANNING SERVICESCRD#: 20472 9600 Great Hills Trail
Austin, TX 78759
Registration History
200620082010201220142016201820202022202420262 FIRMS2010 - 2012 (2 years)2 FIRMS2012 - 2013 (1 year)2 FIRMS2018 - 2019 (1 year)2 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - 2024 (1 year)2 FIRMS2024 - Present (1 year)BFROST BROKERAGE SERVICES, INC. (CRD# 17465)2014 - 2018 (3 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2013 - 2014 (<1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2006 - 2009 (2 years)IAFROST INVESTMENT SERVICES (CRD# 286129)2017 - 2018 (<1 year)IACHASE INVESTMENT SERVICES CORP. (CRD# 25574)2009 - 2009 (<1 year)
License(s)

State Registrations

B
Texas 2/23/2024

IA
Texas 2/23/2024

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
ADVICE AND PLANNING SERVICES (CRD#:20472)
9600 Great Hills Trail, Austin, TX 78759
Austin, TX
Registered with this firm since 2/23/2024

B
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472)
9600 Great Hills Trail, Austin, TX 78759
Austin, TX
Registered with this firm since 2/23/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
10/31/2022 - 01/24/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
B
10/14/2022 - 01/24/2024 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) HOUSTON, TX
IA
03/30/2021 - 10/14/2022 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) HOUSTON, TX
B
04/09/2021 - 10/14/2022 CETERA INVESTMENT SERVICES LLC (CRD#:15340) HOUSTON, TX
IA
03/30/2018 - 10/04/2019 BBVA WEALTH SOLUTIONS INC. (CRD#:110476) Houston, TX
B
03/30/2018 - 10/04/2019 BBVA SECURITIES INC. (CRD#:27060) HOUSTON, TX
IA
10/05/2017 - 02/23/2018 FROST INVESTMENT SERVICES (CRD#:286129) HOUSTON, TX
B
08/26/2014 - 02/23/2018 FROST BROKERAGE SERVICES, INC. (CRD#:17465) SAN ANTONIO, TX
B
12/19/2013 - 07/14/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
IA
10/01/2012 - 11/07/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
B
10/01/2012 - 11/07/2013 J.P. MORGAN SECURITIES LLC (CRD#:79) HOUSTON, TX
IA
05/07/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
05/07/2010 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
IA
02/17/2009 - 04/28/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
B
07/04/2006 - 04/28/2009 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) HOUSTON, TX
For additional information about investment advisers or broker-dealers, please visit
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.