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ChFC

Kevin Castle

Principal Securities, INC.
44 Years of Experience
Iowa City, IA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Kevin Castle is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Iowa City, IA, with 44 years of industry experience. Kevin is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B in assets under management.

Principal Securities, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1709 advisors
Number of Clients
51,941 clients
Average Client Portfolio
$328K average
Assets Under Management
$17.0B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $150K1.75%
$150K - $250K1.75%
$250K - $500K1.75%
$500K - $1000K1.20%
$1M+1.10%

Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

430 Iowa Ave, Iowa City, IA, 52240

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2006
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kevin owns farmland through Tall Oak Farms LLC since 2010. He also sells fixed life insurance, fixed annuities, disability insurance, and long-term care insurance through various carriers since 2014, as well as group non-medical fixed insurance. Kevin owns Castle Quarter Horses, LLC for liability protection related to livestock, requiring minimal time.

Employment History
Current Registrations
Principal Securities, INC.
January 1999 - Present · 27 yrs 9 mos
Principal Securities, INC.Broker
August 1983 - Present · 43 yrs 2 mos
Previous Registrations
The Equitable Life Assurance Society of the United StatesBroker
December 1980 - November 1981 · 11 mos
State Registrations20 states
ALARCACOFLGAIAILINMEMIMNMONCNENHOHSDTXWI
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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