AdFi
SC

Steven Cronin Castrello

Investment Adviser Representative at AEGIS CAPITAL CORP.

Pomona, NYCRD #4335740Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
23 yrs
States Registered
1 states
Exams Passed
8

Registrations & licenses

Registration type
Dual-registered
Registered in 1 states
New York
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 6/18/2011
Series 63
Uniform Securities Agent State Law Examination
Passed 5/16/2006
Series 65
Uniform Investment Adviser Law Examination
Passed 3/19/2001
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 10/6/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 55
Limited Representative-Equity Trader Exam
Passed 6/26/2002
Series 31
Futures Managed Funds Examination
Passed 3/26/2001
Series 7
General Securities Representative Examination
Passed 2/15/2001

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Asset tierAnnual rate
First $250,000 (client pays transaction costs)2.50%
Next $750,000 (client pays transaction costs)2.25%
Over $1,000,000 (client pays transaction costs)2.00%
First $250,000 (adviser pays transaction costs)3.00%
Next $750,000 (adviser pays transaction costs)2.75%
Over $1,000,000 (adviser pays transaction costs)2.50%
Source

Aegis Capital Corp. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

AEGIS CAPITAL CORP.Current
9/9/2024Pomona, NY
OSAIC WEALTH, INC.
10/6/20237/29/2024Livingston, NJ
AMERIPRISE FINANCIAL SERVICES, LLC
10/6/202110/10/2023Paramus, NJ
ROYAL ALLIANCE ASSOCIATES, INC.
5/15/201910/8/2021Nyack, NY
SIGNATOR INVESTORS, INC.
10/17/20141/25/2018Nyack, NY
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
6/21/20111/7/2013White Plains, NY

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

Other advisors at AEGIS CAPITAL CORP.

Showing 12 of 101 in the directory

View AEGIS CAPITAL CORP. firm profile
About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Steven Cronin Castrello has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Steven Cronin Castrello - Financial Advisor in Pomona, NY | AdvisorFinder