Kenneth D. Castleman

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CRD#: 2659168

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Kenneth Dale Castleman, CFP® was a registered financial professional .

Kenneth is a previously registered financial professional and started their career in finance in 1995. Kenneth had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Past

August 25, 2020 - November 10, 2022

FACET

RIA

CRD#: 285961

Cave Creek, AZ

Past

January 8, 2018 - August 13, 2018

USAA INVESTMENT SERVICES COMPANY

RIA

CRD#: 5475

SAN ANTONIO, TX

Past

September 4, 2007 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA

CRD#: 106352

PHOENIX, AZ

Past

August 17, 2007 - August 10, 2018

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035

PHOENIX, AZ

Past

May 27, 2005 - July 19, 2007

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

VALLEY FORGE, PA

Past

September 20, 2002 - July 19, 2007

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

August 22, 2000 - September 9, 2002

M&I FINANCIAL ADVISORS, INC

CRD#: 16517

MILWAUKEE, WI

Past

October 20, 1995 - August 24, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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".

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 5/6/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/1/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/1/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/19/1995

General Securities Representative Examination

Current Firm

FACET

CRD#: 285961 / SEC#: 801-108767

RIA

Registered Investment Advisory firm - (12/15/2016 Approved)

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Contact information

Main Address

400 East Pratt Street 8th Floor, Baltimore, MD 21202

Mailing Address

Phone number

(443) 376-6222

Established

Firm type

Fiscal year end

# of Employees

174

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (10/1/2025)

Regulatory assets under management

Total Number of Accounts	36,817
AUM (Assets Under Management)	$ 4,754,146,771

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/29/2025	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Kenneth D. Castleman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

USAA INVESTMENT SERVICES COMPANY

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

M&I FINANCIAL ADVISORS, INC

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

FACET

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/2005

Series 63

Date: 11/1/1995

SIE

Date: 8/10/2018

Series 31

Date: 11/1/1995

Series 7

Date: 10/19/1995

Current Firm

FACET

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FACET

TRUST BUT VERIFY

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