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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)28 years in industry

Roland Markel CASTLE

Advisor at NEWEDGE ADVISORS

NEW ORLEANS, LA | Marietta, GA

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Search this name across graphsid dfx:ria:9f2ddc24-edb3-4726-49c6-8ca7c0f22046

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 31, 2003 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NEWEDGE ADVISORS
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 31, 1998earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63|S65
First exam: Aug 31, 1998
First registration: Mar 31, 2003
Dual registered: yes, broker-dealer
Other names: MARK CASTLE|ROLAND MARKEL CASTLE|R.MARK MARKEL CASTLE|R.MARK CASTLE|R MARK CASTLE
IAPD individual key: 2855290

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NEWEDGE ADVISORS	Bd affiliated wealth	Jun 2, 2023	n/a	yes	Marietta, GA\|NEW ORLEANS, LA	Current employment
INDEPENDENT ADVISOR ALLIANCE, LLC	Independent wealth	Aug 3, 2021	May 31, 2023	no	Marietta, GA	Previous registration
Stephens	Bd affiliated wealth	Sep 17, 2012	Aug 25, 2021	no	ATLANTA, GA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Sep 21, 2012	no	ATLANTA, GA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 31, 2003	Jun 1, 2009	no	ATLANTA, GA\|ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
INDEPENDENT ADVISOR ALLIANCE, LLC	NEWEDGE ADVISORS	May 31, 2023	Jun 2, 2023	2	Firm change	RIA to ibd
Stephens	INDEPENDENT ADVISOR ALLIANCE, LLC	Aug 25, 2021	Aug 3, 2021	-22	Firm change	Ibd to RIA
MORGAN STANLEY	Stephens	Sep 21, 2012	Sep 17, 2012	-4	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (5)

→ NEWEDGE ADVISORSRegistered adviserregistration: current employment
Jun 2, 2023 to presentfactForm ADV
→ INDEPENDENT ADVISOR ALLIANCE, LLCRegistered adviserregistration: previous registration
Aug 3, 2021 to May 31, 2023factForm ADV
→ STEPHENSRegistered adviserregistration: previous registration
Sep 17, 2012 to Aug 25, 2021factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Sep 21, 2012factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 31, 2003 to Jun 1, 2009factForm ADV

Dated events

Occurred
May 31, 2023
Advisor changed firm
Roland Markel Castle left Independent Advisor Alliance, Llc for Newedge Advisors (registered 2023-06-02)
Form ADVobserved 6 days ago