Brent A. Caswell

NORMANDY INVESTMENT ADVISORS

Leawood, KS 66209

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CRD#: 5753289

Professional summary

Brent A Caswell, AIF® is a registered financial advisor currently at NORMANDY INVESTMENT ADVISORS located in Leawood, Kansas.

Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Brent has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. Owner, Caswell & Associates, a private entity established to facilitate securities, advisory, and insurance business operations; 08/21/2017; Approximately 100% time spent during securities trading hours per month; Conducted at office location; Investment related. 2. Fixed Insurance Sales, as an Agent; Conducted at office location; Ash Brokerage; Investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent A Caswell'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 15, 2021 - Present

NORMANDY INVESTMENT ADVISORS

Office #1: 12728 State Line Rd., Leawood, KS 66209

RIA

CRD#: 316321

Leawood, KS

Past

July 24, 2015 - October 1, 2021

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

OVERLAND PARK, KS

Past

July 24, 2015 - October 1, 2021

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

OVERLAND PARK, KS

Past

May 24, 2013 - July 28, 2015

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

KANSAS CITY, MO

Past

May 24, 2013 - July 28, 2015

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

KANSAS CITY, MO

Past

March 23, 2010 - May 28, 2013

EDWARD JONES

RIA

CRD#: 250

INDEPENDENCE, MO

Past

March 9, 2010 - May 28, 2013

EDWARD JONES

CRD#: 250

INDEPENDENCE, MO

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".

NORMANDY INVESTMENT ADVISORS

NORMANDY INVESTMENT ADVISORS | SUMMIT INVESTMENT ADVISORS INC

CRD#: 316321 / SEC#: 801-122314

RIA

Registered Investment Advisory firm - (9/15/2021 Approved)

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

Kansas
(10/18/2021)

IAR

Missouri
(10/15/2021)

IAR

Texas
(10/15/2021)

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 66

Date: 3/19/2010

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/4/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/8/2010

General Securities Representative Examination

Current Firm

NORMANDY INVESTMENT ADVISORS

NORMANDY INVESTMENT ADVISORS | SUMMIT INVESTMENT ADVISORS INC

CRD#: 316321 / SEC#: 801-122314

RIA

Registered Investment Advisory firm - (9/15/2021 Approved)

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Contact information

Main Address

12728 State Line Rd., Leawood, KS 66209

Mailing Address

Phone number

(913) 914-1944

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (11 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A MARCH 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	249
AUM (Assets Under Management)	$ 142,027,838

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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Firm Stability Insights

Brent A. Caswell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent A Caswell's CRS (Customer Relationship Summary).

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

NORMANDY INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/19/2010

Series 7TO

Date: 2/4/2024

SIE

Date: 10/1/2018

Series 7

Date: 3/8/2010

Current Firm

NORMANDY INVESTMENT ADVISORS

Contact information

SEC notice filing (11 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORMANDY INVESTMENT ADVISORS

TRUST BUT VERIFY

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