Broker Check


Charles Schwab & Co., Inc. Account Custodian. In addition, TD Ameritrade Institutional, Division of TD Ameritrade, Inc., Account Custodian - Member FINRA/SIPC. Castle Financial, Charles Schwab & Co. Inc. and TD Ameritrade Institutional are separate entities. Charles Schwab & Co.,Inc. and TD Ameritrade, Inc., are both members of the Securities Investor Protection Corporation (SIPC®). Securities in client accounts protected up to $500,000 through SIPC and TD Ameritrade also provides each client $149.5 million worth of protection for securities and $2 million of protection for cash through supplemental coverage provided by London insurers. For details, please visit In the event of a brokerage insolvency, a client may receive amounts due from the trustee in bankruptcy and then SIPC. Supplemental coverage is paid out after the trustee and SIPC payouts and under such coverage each client is limited to a combined return of $152 million from a trustee, SIPC, and London insurers. This policy provides coverage following brokerage insolvency and does not protect against loss in market value of the securities. Charles Schwab & Co., Inc also has comparable SIPC and private insurance. Securities traded through Modern Capital Securities, Inc. 7000 Six Forks Road, Suite 102, Raleigh, NC 27615; Phone 800-440-0442; Member FINRA/SIPC. Castle Financial only transacts business in states where it is properly registered, or excluded or exempted from registration requirements.

Past performance may not be indicative of future results. Therefore, no current or prospective client should assume that the future performance of any specific investment, investment strategy (including the investments and/or investment strategies recommended and/or purchased by Castle Financial), or product made reference to directly or indirectly on this Website, or indirectly via link to any unaffiliated third-party Website, will be profitable or equal to corresponding indicated performance levels.

Different types of investments involve varying degrees of risk, and there can be no assurance that any specific investment will either be suitable or profitable for a client’s investment portfolio. No client or prospective client should assume that any information presented and/or made available on this site serves as the receipt of, or a substitute for, personalized individual advice from the advisor or any other investment professional. The material provided on this website is for informational and educational purposes only and should not be construed as investment advice. All opinions expressed on this site are subject to change without notice and do not constitute legal, tax or investment advice.

Historical performance results for investment indexes and/or categories generally do not reflect the deduction of transaction and/or custodial charges or the deduction of an investment-management fee, the incurrence of which would have the effect of decreasing historical performance results. Hyperlinks on this site are provided as a convenience and we disclaim any responsibility for information, services or products found on sites linked hereto.

Castle Financial has a Business Continuity Plan in place to respond to events that significantly disrupt our business. Since timing and impact of disasters and disruptions are unpredictable, we will be flexible in responding to actual events as they occur. Our plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the business disruption. The plan calls for the routing of phone calls, emails, trades, faxes, and mail to an alternate Castle Financial location. Business is intended to be reinstated within a short period of time, ensuring that clients have access to their cash and securities.