Mark W. Castelin
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.
Mark Wesley Castelin was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1998. Mark had worked at 5 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7 and Series 30 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2026 - July 13, 2026
U.S. BANCORP ADVISORS, LLC
February 13, 2026 - July 13, 2026
U.S. BANCORP ADVISORS, LLC
February 1, 2024 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
January 1, 2024 - February 13, 2026
U.S. BANCORP INVESTMENTS, INC.
February 25, 2011 - November 14, 2017
BMO FAMILY OFFICE, LLC
January 1, 2008 - June 2, 2010
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
June 25, 2004 - January 1, 2008
RUSSELL INSTITUTIONAL SERVICES INC., PART OF RUSSELL INVESTMENTS
July 9, 1998 - August 13, 2004
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/28/2023
General Securities Representative ExaminationCurrent Firm
U.S. BANCORP ADVISORS, LLC
CRD#: 14455 / SEC#: 801-70084, 8-30706
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| U.S. BANCORP | SOLE MEMBER | |
| BEJASA, EILEEN | SENIOR VICE PRESIDENT AND MANAGING DIRECTOR, BROKER-DEALER OPERATIONS | 7002808 |
| CANEVA, DANIEL CESAR | SVP CHIEF OPERATIONS OFFICER | 1686099 |
| CLARK, SHANNON KEITH | CHIEF FINANCIAL OFFICER | 5829700 |
| ELY, JAMES EUGENE JR. | SENIOR VICE PRESIDENT - SALES | 1843373 |
| FERGUSON, KIMBERLY NICOLE | CHIEF EXECUTIVE OFFICER AND MANAGER | 4120145 |
| LAWLOR, BETH DEDRICK | EXECUTIVE VICE PRESIDENT | 5352662 |
| ROLLAND, JODI THOMPSON | MANAGER | 2290884 |
| SALSTROM, KYLE NORMAN | CHIEF COMPLIANCE OFFICER | 5025315 |
| TRIPLETT, SHANE T | INSTITUTIONAL SALES MANAGER | 1865319 |
Regulatory assets under management
| Total Number of Accounts | 3,905 |
| AUM (Assets Under Management) | $ 1,516,483,817 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/19/2025 | ||
| 08/20/2024 | ||
| 11/28/2023 | ||
| 11/21/2023 |
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.
