Thomas De Castro
About Thomas De Castro
Thomas De Castro is an Associate Principal Examiner at FINRA, where he provides guidance on membership matters and leads complex applications. He has a background in commodities brokerage, having worked at SCS Commodities Corp., Atlas Commodities, LLC, and ICAP.
Work at FINRA
Thomas De Castro has been serving as an Associate Principal Examiner at FINRA since 2018. In this role, he provides guidance and advice on membership matters, ensuring that regulatory programs align with departmental goals and FINRA's mission. He leads or participates in complex, novel, unique, or high-risk applications for FINRA membership. Additionally, he proactively identifies notable trends in industry practices, products, and procedures, contributing to the effectiveness of FINRA's regulatory oversight.
Previous Experience in Commodities Brokerage
Before joining FINRA, Thomas De Castro held several positions in the commodities brokerage sector. He worked at SCS Commodities Corp. as Manager-Broker from 1999 to 2006, where he gained significant experience over seven years. Following this, he served as Principal and Commodities Broker at Atlas Commodities, LLC from 2006 to 2009 for three years. He then worked at ICAP as a Commodities Broker/Marketer from 2009 to 2012 in New York, New York, for three years.
Education and Expertise
While specific educational details are not provided, Thomas De Castro's extensive experience in the commodities brokerage industry and his current role at FINRA indicate a strong background in finance, regulatory compliance, and market analysis. His expertise includes navigating complex regulatory environments and understanding industry trends, which are crucial for his responsibilities at FINRA.