Robert James Castle

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
IA	RA	APPROVED	2017-04-24

IA RA
APPROVED

Since 2017-04-24

Branch Locations

430 Iowa Ave, Iowa City, IA 52240 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Coralville	IA	09/2015	Present
Castle Financial Services	Coralville	IA	04/2016	Present
Principal Securities Inc	Coralville	IA	03/2016	Present

09/2015 → Present

Principal Life Insurance Company

Coralville, IA
04/2016 → Present

Castle Financial Services

Coralville, IA
03/2016 → Present

Principal Securities Inc

Coralville, IA

Other Businesses

Fixed insurance, Fixed life, annuities, DI and LTC, 4/22/16.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-04-21
S63	Uniform Securities Agent State Law Examination	2015-11-18

S65 Uniform Investment Adviser Law Examination

2017-04-21
S63 Uniform Securities Agent State Law Examination

2015-11-18

View on SEC IAPD