Douglas Peter Castren

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
NY	RA	APPROVED	2021-06-30

NY RA
APPROVED

Since 2021-06-30

Branch Locations

Depew, NY • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Company	Amherst	NY	08/2012	12/2019
Nicastro& Castren Financial Services	Amherst	NY	08/2014	01/2017
Principal Securities Inc	Amherst	NY	03/2016	Present

08/2012 → 12/2019

Principal Life Insurance Company

Amherst, NY
08/2014 → 01/2017

Nicastro& Castren Financial Services

Amherst, NY
03/2016 → Present

Principal Securities Inc

Amherst, NY

Other Businesses

***OUTSIDE INSURANCE, LIFE, DI, FIXED ANNUITIES, 12/05/14.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-15
S63	Uniform Securities Agent State Law Examination	1993-08-19

S65 Uniform Investment Adviser Law Examination

1999-01-15
S63 Uniform Securities Agent State Law Examination

1993-08-19

Other Names

Doug Castren

View on SEC IAPD