Broker-dealer · New York, NY, United States · last activity Oct 5, 2026

CastleOak Securities

CastleOak Securities is a broker-dealer based in New York, NY, United States. The Desk tracks its coverage in approved outlets, its SEC filings and its regulatory records, checking for updates every few hours.

Profile

Type: Broker-dealer
Headquarters: New York, NY, United States
CRD number: 125334
Why it's tracked: Minority-owned investment bank co-founded by David R. Jones, listed in Black Enterprise's 75 Most Powerful Blacks on Wall Street. (source)
Last checked: Oct 5 · 19:35 UTC

Latest news

No coverage from approved outlets in the last few weeks.

SEC filings

Oct 5, 2026
8-K — CAPITAL ONE MULTI ASSET EXECUTION TRUST (mentions CastleOak Securities)SEC EDGAR · names CastleOak Securities
Sep 17, 2026
8-K — Capital One Auto Receivables LLC (mentions CastleOak Securities)SEC EDGAR · names CastleOak Securities
Aug 18, 2026
8-K — Synchrony Card Funding, LLC (mentions CastleOak Securities)SEC EDGAR · names CastleOak Securities
Jul 27, 2026
424B3 — RYDER SYSTEM INC (R) (mentions CastleOak Securities)SEC EDGAR · names CastleOak Securities
Jul 27, 2026
424B3 — RYDER SYSTEM INC (R) (mentions CastleOak Securities)SEC EDGAR · names CastleOak Securities
Jul 15, 2026
424B2 — GOLDMAN SACHS GROUP INC (GS, GSCE, GS-PA, GS-PC, GS-PD) (mentions CastleOak Securities)SEC EDGAR · names CastleOak Securities
Jul 13, 2026
8-K — CAPITAL ONE MULTI ASSET EXECUTION TRUST (mentions CastleOak Securities)SEC EDGAR · names CastleOak Securities

Regulatory records

Oct 5, 2026
BrokerCheck: CASTLEOAK SECURITIES, LP (CRD 125334) — has disclosuresFINRA BrokerCheck
Oct 5, 2026
Adviser record: CASTLEOAK SECURITIES, LP (CRD 125334) — has disclosuresSEC IAPD