Phillip C. Castle

BROOKSTONE WEALTH ADVISORS

WACO, TX 76712

Some features on this profile are disabled

CRD#: 2619152

Professional summary

Phillip Chad Castle, who also goes by Chad Castle, is a registered financial advisor currently at BROOKSTONE WEALTH ADVISORS, LLC located in Waco, Texas and WINNOW WEALTH, LLC located in Waco, Texas.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1995. Phillip has worked at 11 firms and has passed the Series 65, Series 63, Series 31, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chad Castle

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

SIMPLICITY GROUP INC.; INVESTMENT RELATED; 86 SUMMIT AVENUE, SUITE 303, SUMMIT, NJ 07901; INSURANCE MARKETING; PARTNER; STARTED 06/2022; 40 HOURS/MONTH DEVOTED; ALL HOURS DEVOTED DURING SECURITIES TRADING HOURS; RECRUIT AND TRAIN INSURANCE AGENTS TO SELL INSURANCE PRODUCTS. NURTURE WEALTH INSURANCE AGENCY LLC DBA NURTURE WEALTH; INVESTMENT RELATED; 200 W. STATE HWY 6, SUITE 330, WACO TX 76712; INVESTMENT ADVISORY AND INSURANCE; OWNER/PARTNER; STARTED 01/2011; 80 HOURS/MONTH DEVOTED; 80 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS; OFFER INVESTMENT ADVISORY SERVICES AND INSURANCE SALES. NO ACTIVE BUSINESS. Independent Licensed Insurance Agent through various carriers. Investment related; 200 W HWY 6 SUITE 330, WACO, TX 76712; Start Date: 06/1995. Selling various insurance policies: Life, Long-Term Care, Disability, Annuity. Approximately 10 hrs/ month all during trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Chad Castle's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 13, 2019 - Present

BROOKSTONE WEALTH ADVISORS, LLC

Office #1: 200 W. State Hwy 6 Suite 330, Waco, TX 76712

RIA

CRD#: 137658

WACO, TX

Current

January 19, 2022 - Present

WINNOW WEALTH, LLC

Office #1: 200 W. Hwy 6 Suite 330, Waco, TX 76712

RIA

CRD#: 317181

Waco, TX

Past

April 25, 2017 - September 11, 2019

REGAL INVESTMENT ADVISORS LLC

RIA

CRD#: 125004

Waco, TX

Past

June 24, 2016 - May 5, 2017

WEALTH WATCH ADVISORS, INC

RIA

CRD#: 172002

Waco, TX

Past

September 22, 2008 - July 11, 2018

CASTLE INVESTOR COACHING

RIA

CRD#: 147581

WACO, TX

Past

March 8, 2005 - September 29, 2008

GUNNALLEN FINANCIAL, INC

RIA

CRD#: 17609

WACO, TX

Past

July 2, 2004 - September 29, 2008

GUNNALLEN FINANCIAL, INC

CRD#: 17609

WACO, TX

Past

July 9, 2002 - June 18, 2004

OXFORD FINANCIAL GROUP

CRD#: 40700

HOUSTON, TX

Past

January 11, 1999 - August 22, 2002

CONSORTIUM INVESTMENTS, LTD.

CRD#: 45832

WACO, TX

Past

September 11, 1997 - March 15, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

March 21, 1997 - June 25, 1999

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

February 27, 1997 - June 25, 1999

NEW ENGLAND SECURITIES

CRD#: 615

Past

January 7, 1997 - February 27, 1997

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

August 7, 1996 - December 31, 1996

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

May 30, 1995 - August 8, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WINNOW WEALTH, LLC

CRD#: 317181 / SEC#: 801-130201

RIA

Registered Investment Advisory firm - (5/8/2024 Approved)

Texas

Registered Investment Advisory firm - (5/14/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Louisiana
(10/25/2021)

IAR

Texas
(9/13/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/14/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/26/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 3/4/2005

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 8/22/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/26/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/1997

General Securities Principal Examination

Current Firm

WINNOW WEALTH, LLC

CRD#: 317181 / SEC#: 801-130201

RIA

Registered Investment Advisory firm - (5/8/2024 Approved)

Texas

Registered Investment Advisory firm - (5/14/2024 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

200 W. Hwy 6 Suite 330, Waco, TX 76712

Mailing Address

Phone number

(254) 776-8400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WINNOW WEALTH DISCLOSURE BROCHURE (3/19/2025)

Regulatory assets under management

Total Number of Accounts	370
AUM (Assets Under Management)	$ 123,000,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Martin Wheeler

OSAIC WEALTH, INC.

IAR

Birmingham, AL

Sarah Darling

LPL FINANCIAL LLC

IAR

EPHRATA, PA

Emerlyn Gopez

WELLS FARGO CLEARING SERVICES, LLC

ST. LOUIS, MO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Phillip C. Castle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Chad Castle's CRS (Customer Relationship Summary).

Certified licenses

Experience

WINNOW WEALTH, LLC

REGAL INVESTMENT ADVISORS LLC

WEALTH WATCH ADVISORS, INC

CASTLE INVESTOR COACHING

GUNNALLEN FINANCIAL, INC

GUNNALLEN FINANCIAL, INC

OXFORD FINANCIAL GROUP

CONSORTIUM INVESTMENTS, LTD.

RAYMOND JAMES FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

WMA SECURITIES, INC.

WMA SECURITIES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

WINNOW WEALTH, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/14/2005

Series 63

Date: 5/26/1995

Series 31

Date: 3/4/2005

Series 7

Date: 8/22/1997

Series 6

Date: 5/26/1995

Series 24

Date: 12/15/1997

Current Firm

WINNOW WEALTH, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WINNOW WEALTH, LLC

TRUST BUT VERIFY

Similar Advisors