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RIA / WealthAdvisorCertified Financial Planner18 years in industry

Stephen Laurence Shloss

Advisor at CASTLE FINANCIAL

MISSION VIEJO, CA

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Search this name across graphsid dfx:ria:2f1f0720-2e21-6daa-132c-5db2a1f01668

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 29, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: CASTLE FINANCIAL
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 9, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: Nov 9, 2007
First registration: Nov 29, 2007
Dual registered: no
IAPD individual key: 5429813

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
CASTLE FINANCIAL	State registered	Jul 17, 2026	n/a	yes	MISSION VIEJO, CA	Current employment
MONEY CONCEPTS ADVISORY SERVICE	Bd affiliated wealth	Nov 8, 2023	Jul 17, 2026	no	Mission Viejo, CA\|Mission Viejo, CA\|PALM BEACH GARDENS, FL\|PALM BEACH GARDENS, FL	Previous registration
CROWN CAPITAL SECURITIES, L.P.	Former SEC adviser	Jun 8, 2017	Nov 16, 2023	no	IRVINE, CA\|ORANGE, CA\|MISSION VIEJO, CA	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	Feb 2, 2011	Jun 8, 2017	no	IRVINE, CA\|HOUSTON, TX	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Nov 29, 2007	Feb 7, 2011	no	IRVINE, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MONEY CONCEPTS ADVISORY SERVICE	CASTLE FINANCIAL	Jul 17, 2026	Jul 17, 2026	0	Firm change	Ibd to state RIA
CROWN CAPITAL SECURITIES, L.P.	MONEY CONCEPTS ADVISORY SERVICE	Nov 16, 2023	Nov 8, 2023	-8	Firm change	Ibd to ibd
NEXT FINANCIAL GROUP, INC.	CROWN CAPITAL SECURITIES, L.P.	Jun 8, 2017	Jun 8, 2017	0	Firm change	Other
MSI FINANCIAL SERVICES, INC.	NEXT FINANCIAL GROUP, INC.	Feb 7, 2011	Feb 2, 2011	-5	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6312:12963:CA:2023-11-15	Nov 16, 2023	Nov 8, 2023	MISSION VIEJO, CA	Firm change

Relationships

Registered with (5)

→ CASTLE FINANCIALRegistered adviserregistration: current employment
Jul 17, 2026 to presentfactForm ADV
→ MONEY CONCEPTS ADVISORY SERVICERegistered adviserregistration: previous registration
Nov 8, 2023 to Jul 17, 2026factForm ADV
→ CROWN CAPITAL SECURITIES, L.P.Registered adviserregistration: previous registration
Jun 8, 2017 to Nov 16, 2023factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
Feb 2, 2011 to Jun 8, 2017factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Nov 29, 2007 to Feb 7, 2011factForm ADV

Dated events

Occurred
Jul 17, 2026
Advisor changed firm
Stephen Laurence Shloss left Money Concepts Advisory Service for Castle Financial (registered 2026-07-17)
Form ADVobserved 5 days ago
Occurred
Nov 16, 2023
Advisor changed firm
Stephen Laurence Shloss left Crown Capital Securities, L.P. for Money Concepts Advisory Service (registered 2023-11-08)
Form ADVobserved 5 days ago