Umberto Perez has been Principal of Castleview Partners since September 2015, is a control person of the firm and directly owns between 10% and 25% of it. Umberto Perez holds a Bachelor's degree in Business Administration (double major in International Business and Marketing) from Florida International University.
Castleview Partners, LLC is a Dallas, TX firm with $417M under management, 594 clients and 12 advisers across 6 offices, as of its May 2026 filing.
Umberto Perez is Founding Partner of Castleview Partners. He has over 19 years of experience in the financial planning industry and designs customized financial strategies for individuals, businesses and foundations. He was recruited by MassMutual Financial Group in 1999 as an investment advisor and joined Guardian Life and Park Avenue Securities in 2003 as a registered representative.
Umberto Perez’s longest registration is the current one, 10 years at Castleview Partners since 2015. Before joining Castleview Partners in 2015, Umberto Perez was registered through Global Wealth Advisors and Argentus Advisors, LLC.
- Castleview Partners, LLCCurrent– present · 10 yearsCoral Gables, FL · Adviser representative · Firm CRD 281410
- Global Wealth Advisors– · 1 yearCoral Gables, FL · Adviser representative · Firm CRD 141758
- Argentus Advisors, LLC– · 10 yearsCoral Gables, FL · Adviser representative · Firm CRD 116083
- Park Avenue Securities LLC– · 1 yearCoral Gables, FL · Adviser representative · Firm CRD 46173
- MML Investors Services, Inc.– · under a yearCoral Gables, FL · Adviser representative · Firm CRD 10409
Professional designations
Listed by Castleview Partners
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Umberto Perez is registered as an investment adviser representative in Florida, since November 2015.
- FloridaSince 4 November 2015
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 24 August 2002 |
| Series 7 | General Securities Representative Examination | 27 February 2001 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 March 2000 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- CRD
- 4149270
- Firm
- Castleview Partners · CRD 281410
- Role
- Principal
- Office
- 814 PONCE DE LEON, SUITE 500, Coral Gables, FL 33134
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 2000
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- castleviewpartners.com
Where does Umberto Perez work?
Umberto Perez has been Principal of Castleview Partners, LLC since September 2015, and is a control person of the firm.
Is Umberto Perez a financial advisor?
Yes. Umberto Perez has a current investment-adviser registration in Florida, through Castleview Partners since November 2015.
How many years of experience does Umberto Perez have?
Umberto Perez has 26 years in the financial industry, since April 2000, across 5 adviser firms.
What exams has Umberto Perez passed?
Umberto Perez has passed 3 licensing exams: the Series 6, Series 7 and Series 66. The earliest, the Series 6, was passed in March 2000. FINRA credited Umberto Perez with the SIE, which began in October 2018.
Where did Umberto Perez work before Castleview Partners?
Before Castleview Partners, Umberto Perez was registered through Global Wealth Advisors, March 2009 to December 2010; Park Avenue Securities LLC, July 2004 to January 2006; MML Investors Services, Inc., February 2003 to September 2003.
Where is Umberto Perez based?
Umberto Perez’s registered office is in Coral Gables, FL.
Is Umberto Perez registered with FINRA?
Yes. Umberto Perez has a current broker registration, under CRD 4149270.
Source: FINRA BrokerCheck
Is Umberto Perez a CFP?
Castleview Partners lists Umberto Perez with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: Umberto Perez, CFP® biography, castleviewpartners.com
How can I verify Umberto Perez’s record?
Search CRD 4149270 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Umberto Perez’s full registration record.
