Kevin Michael 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
TX	RA	APPROVED_RES	2021-03-08
IA	RA	APPROVED	1999-01-14

TX RA
APPROVED_RES

Since 2021-03-08
IA RA
APPROVED

Since 1999-01-14

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 Securities Inc	Iowa City	IA	07/1983	Present
Principal Life Insurance Company	Iowa City	IA	07/1998	Present
Castle Financial Services Inc	Iowa City	IA	04/2004	Present

07/1983 → Present

Principal Securities Inc

Iowa City, IA
07/1998 → Present

Principal Life Insurance Company

Iowa City, IA
04/2004 → Present

Castle Financial Services Inc

Iowa City, IA

Other Businesses

**TALL OAK FARMS LLC, OWN FARMLAND, 9/27/10. **OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, DISABILITY INSURANCE AND LONG TERM CARE INSURANCE THROUGH VARIOUS CARRIERS, 10/24/14. **FIXED INSURANCE; GROUP NON-MED; 04/05/16 **Castle Quarter Horses, LLC; Not Investment Related; Solon, IA; Owner; This LLC owns around 5 quarter horses at any given time and was set up for liability protection if anyone is injured by livestock on his acreage.; Start Date: 05/11/2006; 0 hrs per month; 0 during trading hours. **NEAL SMITH NWR POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/28/2025 ADDRESS: 9981 Pacific St, Prairie City IA 50228, United States DESCRIPTION: Volunteer Board member of a federal wildlife refuge in Iowa. Consists of monthly board meetings, helping define wildlife refuge priorities and educational opportunities. Nothing related to finance or investments. **BUR OAK LAND TRUST POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/28/2026 ADDRESS: 1700 South 1st Avenue #11, Iowa City IA 52240, United States DESCRIPTION: A Non-profit conservational organization. Non paid board member position.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-05-18
S63	Uniform Securities Agent State Law Examination	1983-09-03

S65 Uniform Investment Adviser Law Examination

1998-05-18
S63 Uniform Securities Agent State Law Examination

1983-09-03

Designations

Chartered Financial Consultant

View on SEC IAPD