Principal Securities, Inc.
SEC-registered
Broker-Dealer (Dually Registered) · Large ($10B–$100B)
CRD 1137
· SEC file 801-54949
· Des Moines, IA
· X.COM
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $17.0B
- Discretionary
- $14.1B
- Clients
- 51,941
- Avg AUM / client
- $328K
- Accounts
- 68,981
- Employees
- 1,464
AUM over time
$726M
$17.0B
Nov 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Asset allocation (SMA assets by investment type)
as of Mar 30, 2026
Registered investment companies (funds/ETFs)
$12.8B
75%
Exchange-traded equities
$2.4B
14%
Cash & equivalents
$681M
4%
Non-exchange-traded equities
$170M
1%
US government & agency bonds
$170M
1%
State & local bonds
$170M
1%
Investment-grade corporate bonds
$170M
1%
Non-investment-grade bonds
$170M
1%
Pooled investment vehicles
$170M
1%
Other
$170M
1%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 49,012 | $11.2B | 65.8% |
| High net worth individuals | 2,638 | $5.5B | 32.5% |
| Pension and profit sharing plans | 29 | $20.3M | 0.12% |
| Charitable organizations | 41 | $77.7M | 0.46% |
| Corporations and other businesses | 221 | $189M | 1.11% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
People (1,454)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Cody Anthony Lawler | Head Of Supervision, Head Of Operations | Jun 2012 (14y) | Less than 5% | |
| Strable Soethout, Deanna Dawnette | Director | Apr 2015 (11y) | Less than 5% | |
| Michael Francis Murray | President/Chief Executive Officer/Chair | Jul 2018 (8y) | Less than 5% | |
| Friedrich, Amy Christine | Director | May 2019 (7y) | Less than 5% | |
| Craig Alan Spadafora | Senior Vice President / Head Of Advisory And Platform | Jul 2019 (7y) | Less than 5% | |
| Claire, Chad Thomas | Chief Information Officer | Dec 2019 (7y) | Less than 5% | |
| Rants, Douglas John | Chief Information Security Officer | Dec 2019 (7y) | Less than 5% | |
| Beitzel, Carla Kay | Vice President Of Distribution | Jul 2020 (6y) | Less than 5% | |
| Daniel Simon Van Winkle | Psi Aml Officer | Mar 2021 (5y) | Less than 5% | |
| Mccullum, Kenneth Allen | Director | May 2021 (5y) | Less than 5% | |
| Drogan, Thomas John | Chief Compliance Officer | May 2024 (2y) | Less than 5% | |
| Roberts, Dawn Marie | Chief Financial Officer | Dec 2024 (2y) | Less than 5% | |
| Schelhaas, Nathan Paul | Director | Dec 2024 (2y) | Less than 5% | |
| Scott Alan Kimmel | Registered representative | Sep 1992 (34y) | ||
| Donald Terry | Registered representative | Nov 1994 (32y) | ||
| Denise Margo Kimmel | Registered representative | Jun 1998 (28y) | ||
| Daniel Bryan Goldberg | Registered representative | CFP Chartered Financial Consultant | Aug 1998 (28y) | |
| Larry William Bryant | Registered representative | Chartered Financial Consultant | Aug 1998 (28y) | |
| Richard Eric Goldberg | Registered representative | CFP Chartered Financial Consultant | Aug 1998 (28y) | |
| Randall Jay Malone | Registered representative | Chartered Financial Consultant | Sep 1998 (28y) | |
| Michael Douglas Gary | Registered representative | Chartered Financial Consultant | Jan 1999 (28y) | |
| Kevin Michael Castle | Registered representative | Chartered Financial Consultant | Jan 1999 (28y) | |
| Jeffrey Phillip Dvorak | Registered representative | Apr 1999 (27y) | ||
| Matthew Richard Reed | Registered representative | Jul 1999 (27y) | ||
| Joseph Arthur Nagy | Registered representative | Jul 1999 (27y) | ||
| Mark Steven Goodside | Registered representative | Chartered Financial Consultant | Aug 1999 (27y) | |
| William Frederick Daines | Registered representative | Chartered Financial Consultant | Aug 1999 (27y) | |
| Walter George Nissen | Registered representative | Chartered Financial Consultant | Oct 1999 (27y) | |
| Scott Matthew Baxter | Registered representative | Oct 1999 (27y) | ||
| Kenneth Milton Kintzle | Registered representative | Nov 1999 (27y) | ||
| Corey Wendell Grimes | Registered representative | Chartered Financial Consultant | Dec 1999 (27y) | |
| James Matthew Muccigrosso | Registered representative | Jan 2000 (27y) | ||
| Jonathan Paul Goergen | Registered representative | Jan 2000 (27y) | ||
| Robert Gerard Burmeister | Registered representative | CFP | Jan 2000 (27y) | |
| Benjamin Lynch Haupts | Registered representative | Jan 2000 (27y) | ||
| Dale Arthur Roshek | Registered representative | Jan 2000 (27y) | ||
| Dawn Roach | Registered representative | Jan 2000 (27y) | ||
| David Michael Hebert | Registered representative | Jan 2000 (27y) | ||
| Donald Everett Laster | Registered representative | Jan 2000 (27y) | ||
| Patrick Joseph Byrne | Registered representative | Chartered Financial Consultant | Jan 2000 (27y) | |
| William Braden Stephens | Registered representative | Chartered Financial Consultant | Jan 2000 (27y) | |
| Mark Joseph Hughes | Registered representative | Chartered Financial Consultant | Feb 2000 (26y) | |
| William Edward Griffith | Registered representative | Chartered Financial Consultant | Feb 2000 (26y) | |
| Gregory John Massino | Registered representative | CFP | Apr 2000 (26y) | |
| Craig Matthew Vejvoda | Registered representative | CFP Chartered Financial Consultant | May 2000 (26y) | |
| Ronald Bruce Merry | Registered representative | Chartered Financial Consultant | Sep 2000 (26y) | |
| Steven Jay Wright | Registered representative | Mar 2001 (25y) | ||
| James Lee Clark | Registered representative | Aug 2001 (25y) | ||
| Sal Peter Tabuena | Registered representative | Aug 2001 (25y) | ||
| Derek Lee Smith | Registered representative | Dec 2001 (25y) | ||
| Vernon Craig Maples | Registered representative | Chartered Financial Consultant | Dec 2001 (25y) | |
| Michael Scott Gold | Registered representative | Chartered Financial Consultant | Apr 2002 (24y) | |
| Ryan Robert Donovan | Registered representative | CFP | Apr 2002 (24y) | |
| Matthew Mark Woller | Registered representative | Jul 2002 (24y) | ||
| Richard Joseph Suermann | Registered representative | Oct 2002 (24y) | ||
| Randall Jay Roethel | Registered representative | Chartered Financial Consultant | Dec 2002 (24y) | |
| Dean Edward Estling | Registered representative | Chartered Financial Consultant | Dec 2002 (24y) | |
| Raymond Nicholas Ianni | Registered representative | CFP Chartered Financial Consultant | Dec 2002 (24y) | |
| Dene Maria Sanfillipo | Registered representative | Jan 2003 (24y) | ||
| Melvin Mark Rochowiak | Registered representative | Jan 2003 (24y) | ||
| Thomas Patrick Jesser | Registered representative | Jan 2003 (24y) | ||
| Timothy Allen Colvin | Registered representative | Jan 2003 (24y) | ||
| Brian Kenneth Davis | Registered representative | Feb 2003 (23y) | ||
| Gregg Mitchell Millman | Registered representative | Mar 2003 (23y) | ||
| Lance Edward Hennesay | Registered representative | Mar 2003 (23y) | ||
| Darrell Frank Juliano | Registered representative | Chartered Financial Consultant | Apr 2003 (23y) | |
| Ted John Longnecker | Registered representative | Jul 2003 (23y) | ||
| Timothy Michael Dardis | Registered representative | Chartered Financial Consultant | Aug 2003 (23y) | |
| Michael Lee Affleck | Registered representative | Sep 2003 (23y) | ||
| Peter J Anderson | Registered representative | CFP | Nov 2003 (23y) | |
| Nick James Krueger | Registered representative | Jan 2004 (23y) | ||
| Matthew Gordon Clark | Registered representative | Chartered Financial Consultant | Jan 2004 (23y) | |
| David Keith Seems | Registered representative | Chartered Financial Consultant | Jan 2004 (23y) | |
| Gerard J Nieters | Registered representative | Feb 2004 (22y) | ||
| Angelo Michael Giannosa | Registered representative | Chartered Financial Consultant | Mar 2004 (22y) | |
| Mark Allan Kleiderlein | Registered representative | CFP | Mar 2004 (22y) | |
| Jennie Jean Henry | Registered representative | CFP | May 2004 (22y) | |
| Janet Louise Heitzig | Registered representative | Chartered Financial Consultant | Jun 2004 (22y) | |
| Robert Ralph Mandolesi | Registered representative | Jun 2004 (22y) | ||
| Rebecca Jane Hueser | Registered representative | Aug 2004 (22y) | ||
| Alan Lewis Holland | Registered representative | Chartered Financial Consultant | Aug 2004 (22y) | |
| Matthew Wade Moffitt | Registered representative | Sep 2004 (22y) | ||
| Matthew Chad Darling | Registered representative | Sep 2004 (22y) | ||
| Roger Lee Zahn | Registered representative | Oct 2004 (22y) | ||
| Matthew Duane Dinville | Registered representative | Oct 2004 (22y) | ||
| Susan Jane Bentley | Registered representative | Oct 2004 (22y) | ||
| Troy Brandon King | Registered representative | Oct 2004 (22y) | ||
| Gina Dale Suchanek | Registered representative | Nov 2004 (22y) | ||
| Stephen Craig Mercer | Registered representative | Dec 2004 (22y) | ||
| Marco Antonio Rodriguez | Registered representative | Dec 2004 (22y) | ||
| Glen A Zeller | Registered representative | Jan 2005 (22y) | ||
| William Robert Froehlich | Registered representative | Jan 2005 (22y) | ||
| David Lane Gerdes | Registered representative | Jan 2005 (22y) | ||
| Alison Kline Smith | Registered representative | Jan 2005 (22y) | ||
| Amy Darwin Cooper | Registered representative | Jan 2005 (22y) | ||
| Matt John Ramaekers | Registered representative | CFP Chartered Financial Consultant | Jan 2005 (22y) | |
| Norbert Lee Bissmeyer | Registered representative | Jan 2005 (22y) | ||
| Melanie Lynn Francis | Registered representative | Jan 2005 (22y) | ||
| Christina Gaye Sisson | Registered representative | Jan 2005 (22y) | ||
| James Brian Allen | Registered representative | Jan 2005 (22y) | ||
| Christopher Warren Persak | Registered representative | Feb 2005 (21y) | ||
| Brenda Lee Long | Registered representative | Feb 2005 (21y) | ||
| Sheri Lynn Yoder | Registered representative | Feb 2005 (21y) | ||
| Alyson Elizabeth Erickson | Registered representative | Feb 2005 (21y) | ||
| Thomas Paul Fink | Registered representative | Chartered Financial Consultant | Feb 2005 (21y) | |
| William Eaton Bates | Registered representative | Chartered Financial Consultant | Feb 2005 (21y) | |
| Sean Patrick Mullane | Registered representative | CFP | Feb 2005 (21y) | |
| Christian David Serock | Registered representative | Feb 2005 (21y) | ||
| Kara Ann Koch | Registered representative | Mar 2005 (21y) | ||
| Raymond I Cal | Registered representative | Mar 2005 (21y) | ||
| John Darrell Baergen | Registered representative | CFP | Mar 2005 (21y) | |
| Jeffrey Jay Schultz | Registered representative | Mar 2005 (21y) | ||
| Scott Russell Clayberg | Registered representative | Mar 2005 (21y) | ||
| Violet Natalie Gesing Alicea | Registered representative | Mar 2005 (21y) | ||
| Melvin Carlyle Morris | Registered representative | Mar 2005 (21y) | ||
| Philip Edward Showalter | Registered representative | Apr 2005 (21y) | ||
| Chad William Turner | Registered representative | Apr 2005 (21y) | ||
| Jeremy Lawrence Trudeau | Registered representative | Apr 2005 (21y) | ||
| Kristin Moyer Andrews | Registered representative | Apr 2005 (21y) | ||
| Kelly K Larson | Registered representative | Apr 2005 (21y) | ||
| Scott Charles Wandschneider | Registered representative | Apr 2005 (21y) | ||
| Jeffrey M Mccloskey | Registered representative | CFP | Apr 2005 (21y) | |
| Jason W Heffner | Registered representative | Apr 2005 (21y) | ||
| Cynthia Diane Wilson | Registered representative | May 2005 (21y) | ||
| Kathleen A Wayland | Registered representative | May 2005 (21y) | ||
| Danny Lynn Fong | Registered representative | May 2005 (21y) | ||
| David Eugene Traut | Registered representative | May 2005 (21y) | ||
| Jeffrey Muleya | Registered representative | May 2005 (21y) | ||
| Michael Brian Looney | Registered representative | May 2005 (21y) | ||
| James J Murray | Registered representative | Jun 2005 (21y) | ||
| Mary C Ferrone | Registered representative | Jun 2005 (21y) | ||
| Todd William Jensen | Registered representative | Chartered Financial Consultant | Jun 2005 (21y) | |
| Avi Joseph Mesch | Registered representative | Chartered Financial Consultant | Jun 2005 (21y) | |
| Chad Schneider Sturtz | Registered representative | Jul 2005 (21y) | ||
| Jason Robert Bowie | Registered representative | CFP Chartered Financial Consultant | Jul 2005 (21y) | |
| Jonathan David Moyer | Registered representative | CFP Chartered Financial Consultant | Jul 2005 (21y) | |
| Cynthia King Blythe | Registered representative | Jul 2005 (21y) | ||
| Robert J Belman | Registered representative | Aug 2005 (21y) | ||
| David L Oliver | Registered representative | Aug 2005 (21y) | ||
| William Henry Feller | Registered representative | CFP | Aug 2005 (21y) | |
| Jeri Kay Dlugin | Registered representative | Aug 2005 (21y) | ||
| Dane Austin Secoy | Registered representative | Aug 2005 (21y) | ||
| Blake Frederick Niehaus | Registered representative | Aug 2005 (21y) | ||
| Charles Michael Pires | Registered representative | Aug 2005 (21y) | ||
| Miguel A Lopez | Registered representative | Sep 2005 (21y) | ||
| Paula Kay Smith | Registered representative | Sep 2005 (21y) | ||
| Steven Joseph Dzvonick | Registered representative | Sep 2005 (21y) | ||
| Melinda Anderson Lassiter | Registered representative | Oct 2005 (21y) | ||
| Cheryl Lynn Yost | Registered representative | Oct 2005 (21y) | ||
| Melodee Jane Thuesen | Registered representative | Oct 2005 (21y) | ||
| Richard Lynn Newland | Registered representative | CFP | Oct 2005 (21y) | |
| Joy Teves Dutmers | Registered representative | Oct 2005 (21y) | ||
| Michael Eris Ragsdale | Registered representative | Oct 2005 (21y) | ||
| Adam Pierce Brown | Registered representative | Oct 2005 (21y) | ||
| Rosemary Martinez | Registered representative | Oct 2005 (21y) | ||
| Philip James Pyrz | Registered representative | Nov 2005 (21y) | ||
| Kristin Leigh Hovmiller | Registered representative | Nov 2005 (21y) | ||
| Michelle M Stone | Registered representative | Nov 2005 (21y) | ||
| Gina Nicole Katz | Registered representative | Dec 2005 (21y) | ||
| Thomas Louis Burnor | Registered representative | Dec 2005 (21y) | ||
| Pamela Ann Goforth | Registered representative | Jan 2006 (21y) | ||
| Mark Jeffrey Ellis | Registered representative | Feb 2006 (20y) | ||
| Presley Austin Carter | Registered representative | Chartered Financial Consultant | Feb 2006 (20y) | |
| Clark Reaney Anderson | Registered representative | CFP | Feb 2006 (20y) | |
| Robert Christopher Walter | Registered representative | Feb 2006 (20y) | ||
| Robert Jose Pulles | Registered representative | CFP | Mar 2006 (20y) | |
| Christopher Alan Holthaus | Registered representative | Mar 2006 (20y) | ||
| Robert Lee Crandall | Registered representative | Mar 2006 (20y) | ||
| Gretchen Ohls Barress | Registered representative | Mar 2006 (20y) | ||
| Mark Karam Homsi | Registered representative | CFP | Mar 2006 (20y) | |
| Thomas Richard Vetrano | Registered representative | Mar 2006 (20y) | ||
| Eddie Ray Coleman | Registered representative | Apr 2006 (20y) | ||
| Brian Laverne Wubben | Registered representative | Apr 2006 (20y) | ||
| Luella Anne Mahoney | Registered representative | Apr 2006 (20y) | ||
| Brian C Helm | Registered representative | Apr 2006 (20y) | ||
| Vicky M Johnson | Registered representative | CFP | May 2006 (20y) | |
| Bradford Stanley Hall | Registered representative | May 2006 (20y) | ||
| Val Joseph Tornicelli | Registered representative | May 2006 (20y) | ||
| John Quentin Limmex | Registered representative | Jun 2006 (20y) | ||
| Matthew Robert Sunde | Registered representative | Jun 2006 (20y) | ||
| Sasha K Steinbeck | Registered representative | Jul 2006 (20y) | ||
| Andrew Lee Larsen | Registered representative | CFP | Jul 2006 (20y) | |
| Dustin Eugene Hill | Registered representative | Jul 2006 (20y) | ||
| Lacey Dawn Hilton Loewe | Registered representative | Aug 2006 (20y) | ||
| David Stephen Spellman | Registered representative | Aug 2006 (20y) | ||
| David Erick Waugh | Registered representative | Aug 2006 (20y) | ||
| Keith Anthony Willett | Registered representative | Aug 2006 (20y) | ||
| Mindy Ann Mondaro | Registered representative | Sep 2006 (20y) | ||
| Leslie Ann Arcuri | Registered representative | Sep 2006 (20y) | ||
| Robert James Pullin | Registered representative | Sep 2006 (20y) | ||
| Shannon Louise Barrionuevo | Registered representative | Sep 2006 (20y) | ||
| Todd Alan Graff | Registered representative | Sep 2006 (20y) | ||
| Joseph Edward Tabella | Registered representative | Oct 2006 (20y) | ||
| Lara Elinora Costanzo | Registered representative | CFP | Oct 2006 (20y) | |
| Elizabeth Marie Granum | Registered representative | Oct 2006 (20y) | ||
| Jason Wayne Longnecker | Registered representative | Nov 2006 (20y) | ||
| Maribel Perez | Registered representative | Nov 2006 (20y) | ||
| Maricela Ponce Zamalloa | Registered representative | Nov 2006 (20y) | ||
| John Edmond Demontel | Registered representative | Nov 2006 (20y) | ||
| Michael Patrick Mcmullan | Registered representative | Chartered Financial Consultant | Dec 2006 (20y) | |
| Eric Jesse Russell | Registered representative | Jan 2007 (20y) | ||
| Richard J Custer | Registered representative | Jan 2007 (20y) | ||
| Francis David Goyette | Registered representative | Mar 2007 (19y) | ||
| Catherine Alice Farago | Registered representative | Apr 2007 (19y) | ||
| Leonard Ellwood Barwick | Registered representative | May 2007 (19y) | ||
| Mark D Lehmann | Registered representative | May 2007 (19y) | ||
| Melinda Kaye Cronin | Registered representative | Jun 2007 (19y) | ||
| Kirk Louis Tebo | Registered representative | Jun 2007 (19y) | ||
| Robert George Wright | Registered representative | Jun 2007 (19y) | ||
| Melissa Jane Schuchard | Registered representative | Jun 2007 (19y) | ||
| Hector M Hernandez | Registered representative | Jul 2007 (19y) | ||
| Raymond Lear Bening | Registered representative | Jul 2007 (19y) | ||
| Marion Ronald Johnson | Registered representative | Aug 2007 (19y) | ||
| Jeffrey A Kirk | Registered representative | Aug 2007 (19y) | ||
| Joshua James Nigg | Registered representative | CFP | Aug 2007 (19y) | |
| John Alex Baczwaski | Registered representative | Aug 2007 (19y) | ||
| Micah Farl Taylor | Registered representative | Aug 2007 (19y) | ||
| Norma Correa Quiroga | Registered representative | Aug 2007 (19y) | ||
| Carlos Eduardo Vasquez | Registered representative | Aug 2007 (19y) | ||
| John Thomas Cullen | Registered representative | Sep 2007 (19y) | ||
| Mark Richard Jenkins | Registered representative | Sep 2007 (19y) | ||
| Ricky James Dhabalt | Registered representative | Sep 2007 (19y) | ||
| Richard Kelly Prey | Registered representative | Oct 2007 (19y) | ||
| William John Reichardt | Registered representative | Oct 2007 (19y) | ||
| Steven Craig Scott | Registered representative | Oct 2007 (19y) | ||
| Kristine A Tetmeyer | Registered representative | Nov 2007 (19y) | ||
| Kurt Anthony Cecconi | Registered representative | Nov 2007 (19y) | ||
| Houston Douglas Ingram | Registered representative | Dec 2007 (19y) | ||
| Janet L Elliott | Registered representative | Dec 2007 (19y) | ||
| Jeffrey Scott Meislahn | Registered representative | Dec 2007 (19y) | ||
| Gregory Vincent Cismoski | Registered representative | Feb 2008 (19y) | ||
| James Yukio Nakamine | Registered representative | Feb 2008 (18y) | ||
| Matthew James Neff | Registered representative | Feb 2008 (18y) | ||
| Joe Keith Townsend | Registered representative | Chartered Financial Consultant | May 2008 (18y) | |
| Andre Joseph Rethman | Registered representative | Jun 2008 (18y) | ||
| Jerold Attento | Registered representative | Jul 2008 (18y) | ||
| Jessica Lindsey Westgard Larson | Registered representative | Aug 2008 (18y) | ||
| Mark Richard Huchingson | Registered representative | Aug 2008 (18y) | ||
| Glenn Edward Hanzelin | Registered representative | Aug 2008 (18y) | ||
| Jeffrey Scott Golan | Registered representative | Chartered Financial Consultant | Aug 2008 (18y) | |
| Daniel John Robinson | Registered representative | CFP Chartered Financial Consultant | Sep 2008 (18y) | |
| Steven Michael Devlin | Registered representative | Sep 2008 (18y) | ||
| Anthony Victor Palermo | Registered representative | Oct 2008 (18y) | ||
| Han Chen | Registered representative | CFA | Oct 2008 (18y) | |
| Kevin Max Sullivan | Registered representative | CFP Chartered Financial Consultant | Dec 2008 (18y) | |
| David Russell Sandstead | Registered representative | Dec 2008 (18y) | ||
| Chad D Smith | Registered representative | Jan 2009 (18y) | ||
| James M Follstad | Registered representative | Jan 2009 (18y) | ||
| Susan Lynn Esses | Registered representative | CFP | Jan 2009 (18y) | |
| Jay C Randall | Registered representative | Jan 2009 (18y) | ||
| Tula Ann Burch | Registered representative | Feb 2009 (17y) | ||
| Ronald Thomas Staebell | Registered representative | Chartered Financial Consultant | Mar 2009 (17y) | |
| David Earl Ratcliffe | Registered representative | Jun 2009 (17y) | ||
| Gregory John Van Arendonk | Registered representative | Jun 2009 (17y) | ||
| Joseph Carlin Fernandez | Registered representative | CFP | Jun 2009 (17y) | |
| Bradley G Brown | Registered representative | Jun 2009 (17y) | ||
| Mathew David Driscoll | Registered representative | CFP | Jun 2009 (17y) | |
| Brooks Christian Lau | Registered representative | Jun 2009 (17y) | ||
| Jenifer Lynn Dahir | Registered representative | Jul 2009 (17y) | ||
| Mark Sanders | Registered representative | Chartered Financial Consultant | Jul 2009 (17y) | |
| Terry Leland Vanwinkle | Registered representative | Aug 2009 (17y) | ||
| Randy M See | Registered representative | CFP | Sep 2009 (17y) | |
| Mark Alan Smith | Registered representative | CFP | Nov 2009 (17y) | |
| Michael J Muersch | Registered representative | Nov 2009 (17y) | ||
| Bruce Edward Murphy | Registered representative | Nov 2009 (17y) | ||
| Robert B Higgins | Registered representative | Jan 2010 (17y) | ||
| Kathy Mae Costner | Registered representative | Jan 2010 (17y) | ||
| Kevin Merle Smith | Registered representative | Feb 2010 (16y) | ||
| Gregory Charles Burgett | Registered representative | Feb 2010 (16y) | ||
| Michael John Linse | Registered representative | CFP | Mar 2010 (16y) | |
| Jamie M Bachman | Registered representative | Apr 2010 (16y) | ||
| Angie Linn Fritz | Registered representative | May 2010 (16y) | ||
| Wendell Dale Epps | Registered representative | May 2010 (16y) | ||
| Jason M Folsom | Registered representative | CFP Chartered Financial Consultant | May 2010 (16y) | |
| Ryan Gale Moser | Registered representative | May 2010 (16y) | ||
| Deborah R Reynolds | Registered representative | Jun 2010 (16y) | ||
| Scott Robert Fraungruber | Registered representative | Jun 2010 (16y) | ||
| Edward Leo Mcdermott | Registered representative | Jun 2010 (16y) | ||
| Marisa S Main | Registered representative | Jun 2010 (16y) | ||
| Joseph Ignacio Manzo | Registered representative | Jul 2010 (16y) | ||
| Anh Thicam Nguyen | Registered representative | CFP | Aug 2010 (16y) | |
| Jesse Taylor Clark | Registered representative | Aug 2010 (16y) | ||
| Stephen Michael Laine | Registered representative | Chartered Financial Consultant | Sep 2010 (16y) | |
| Kara Leigh Schab | Registered representative | Oct 2010 (16y) | ||
| Timothy Francis Dwyer | Registered representative | CFP | Oct 2010 (16y) | |
| Robert Austin Cozzi | Registered representative | Nov 2010 (16y) | ||
| Stephan David Sandoval | Registered representative | Dec 2010 (16y) | ||
| Jason R Sanders | Registered representative | Dec 2010 (16y) | ||
| Mark Robert Schubert | Registered representative | Dec 2010 (16y) | ||
| Adam J Brophy | Registered representative | Jan 2011 (16y) | ||
| Grant Wade Ericksen | Registered representative | Jan 2011 (16y) | ||
| Charles Eli Canady | Registered representative | Feb 2011 (15y) | ||
| Joseph R Fenlon | Registered representative | Feb 2011 (15y) | ||
| Kelly Janeen Kramarck | Registered representative | CFP | Mar 2011 (15y) | |
| Brian Marshall Brown | Registered representative | Mar 2011 (15y) | ||
| Jeffrey Earl Harvey | Registered representative | Mar 2011 (15y) | ||
| John Mark Dennis | Registered representative | Mar 2011 (15y) | ||
| Jamison Raymond Moeller | Registered representative | CFP | Apr 2011 (15y) | |
| Mark Joseph Berdan | Registered representative | Chartered Financial Consultant | Apr 2011 (15y) | |
| Rick Lynn Bower | Registered representative | May 2011 (15y) | ||
| Corey Vernal Carney | Registered representative | May 2011 (15y) | ||
| Craig D Smith | Registered representative | May 2011 (15y) | ||
| Dustin James Mars | Registered representative | May 2011 (15y) | ||
| Ryan Thomas Swalwell | Registered representative | Jun 2011 (15y) | ||
| Stephanie Elyse Hays | Registered representative | Jun 2011 (15y) | ||
| Edwin Scot Blehm | Registered representative | Jul 2011 (15y) | ||
| Bryan Joseph Persak | Registered representative | Jul 2011 (15y) | ||
| Grant P Hickman | Registered representative | Jul 2011 (15y) | ||
| Lisa Marie Sandee | Registered representative | Aug 2011 (15y) | ||
| Ashley Ann Chapin | Registered representative | Sep 2011 (15y) | ||
| Joel Martin North | Registered representative | CFP | Sep 2011 (15y) | |
| Joseph M Thomas | Registered representative | Sep 2011 (15y) | ||
| Maryann T Thielke | Registered representative | Oct 2011 (15y) | ||
| Michael Rayshawn Rideout | Registered representative | Oct 2011 (15y) | ||
| Timothy Roetman | Registered representative | Nov 2011 (15y) | ||
| Sandra Lawter Otoole | Registered representative | CFP | Dec 2011 (15y) | |
| Bryan Anthony Rasey | Registered representative | Jan 2012 (15y) | ||
| Benjamin Trevino | Registered representative | Jan 2012 (15y) | ||
| John William Noey | Registered representative | CFP | Mar 2012 (14y) | |
| Christopher John Thomas | Registered representative | CFP | Apr 2012 (14y) | |
| Ronald L Wiedman | Registered representative | May 2012 (14y) | ||
| Raelynn Jane Austin | Registered representative | Jun 2012 (14y) | ||
| Jason Paul Masteller | Registered representative | Jul 2012 (14y) | ||
| Steven Michael Cannatella | Registered representative | Jul 2012 (14y) | ||
| Ben Andrew Kazmierski | Registered representative | Aug 2012 (14y) | ||
| Shawn Michael Mcmahon | Registered representative | Aug 2012 (14y) | ||
| Daniel Roy John Buehrle | Registered representative | Aug 2012 (14y) | ||
| Matthew David Pevahouse | Registered representative | Aug 2012 (14y) | ||
| Gregory W Johnson | Registered representative | Nov 2012 (14y) | ||
| Michael Lynam | Registered representative | CFP | Nov 2012 (14y) | |
| Walter Aristides Magana | Registered representative | Dec 2012 (14y) | ||
| Brett Gallagher | Registered representative | Dec 2012 (14y) | ||
| Shawn Richard Will | Registered representative | Jan 2013 (14y) | ||
| Conrad Russell Beeler | Registered representative | Jan 2013 (14y) | ||
| Benjamin David Eichler | Registered representative | Feb 2013 (13y) | ||
| John Jay Pettit | Registered representative | Feb 2013 (13y) | ||
| Matt Henry Reekers | Registered representative | Feb 2013 (13y) | ||
| Salvatore Joseph Durso | Registered representative | Feb 2013 (13y) | ||
| Timothy Martin Durso | Registered representative | Mar 2013 (13y) | ||
| Michael Stephen Conk | Registered representative | Mar 2013 (13y) | ||
| Lane Weitz | Registered representative | Mar 2013 (13y) | ||
| Ronald Domenic Piccinini | Registered representative | Chartered Financial Consultant | May 2013 (13y) | |
| Scott Raymond Ebert | Registered representative | May 2013 (13y) | ||
| William Mac Congelio | Registered representative | CFP Chartered Financial Consultant | Jun 2013 (13y) | |
| William Robert Frazer | Registered representative | Jun 2013 (13y) | ||
| Jennifer L Smith | Registered representative | Jun 2013 (13y) | ||
| Matthew D Michini | Registered representative | Jul 2013 (13y) | ||
| Kenneth Robert Nadeau | Registered representative | Jul 2013 (13y) | ||
| Michael James Hillbloom | Registered representative | Sep 2013 (13y) | ||
| Scott William Krueger | Registered representative | Oct 2013 (13y) | ||
| Chad M Oppedal | Registered representative | Oct 2013 (13y) | ||
| Craig Ellis Forster | Registered representative | Oct 2013 (13y) | ||
| Krystal Lynn Vriezelaar | Registered representative | Oct 2013 (13y) | ||
| Betsy M Britton | Registered representative | Oct 2013 (13y) | ||
| Jeffrey Lee Hurst | Registered representative | CFP | Oct 2013 (13y) | |
| Paul Eugene Briles | Registered representative | Oct 2013 (13y) | ||
| Peggy Timm | Registered representative | Nov 2013 (13y) | ||
| Bernadina Vankempen Williams | Registered representative | Dec 2013 (13y) | ||
| Gregory Phillip Guluzian | Registered representative | Jan 2014 (13y) | ||
| Jonathon Andrew Roth | Registered representative | CFP | Jan 2014 (13y) | |
| Justin Carl Frisco | Registered representative | Jan 2014 (13y) | ||
| Ronald W Lamberton | Registered representative | Jan 2014 (13y) | ||
| Brian Keith Jenks | Registered representative | Jan 2014 (13y) | ||
| Nichole Larae Coons | Registered representative | Jan 2014 (13y) | ||
| David Winfield Anderson | Registered representative | Jan 2014 (13y) | ||
| Christopher James Fernandez | Registered representative | Jan 2014 (13y) | ||
| Gregory Thomas Toscano | Registered representative | Jan 2014 (13y) | ||
| Mark Sanda | Registered representative | CFP | Jan 2014 (13y) | |
| Melissa Ann Bitting | Registered representative | Jan 2014 (13y) | ||
| Scott Louis Hanson | Registered representative | Jan 2014 (13y) | ||
| Timothy Joseph Boys | Registered representative | Jan 2014 (13y) | ||
| Andrew Reid Tighe | Registered representative | Jan 2014 (13y) | ||
| Casey William West | Registered representative | Jan 2014 (13y) | ||
| Craig J Drake | Registered representative | Jan 2014 (13y) | ||
| Daniel George Mandich | Registered representative | Jan 2014 (13y) | ||
| Glenn David Pavia | Registered representative | Jan 2014 (13y) | ||
| John Joseph Sitarz | Registered representative | Jan 2014 (13y) | ||
| Joseph J Swanson | Registered representative | Jan 2014 (13y) | ||
| Joseph James Carwardine | Registered representative | Jan 2014 (13y) | ||
| Joseph William Newgren | Registered representative | Jan 2014 (13y) | ||
| Justin Davis Piprude | Registered representative | Jan 2014 (13y) | ||
| Mark Allen Peterson | Registered representative | Jan 2014 (13y) | ||
| Nicholas John Halvorson | Registered representative | Jan 2014 (13y) | ||
| Peter Francis Hyjek | Registered representative | Jan 2014 (13y) | ||
| Randy Robert Rheault | Registered representative | Jan 2014 (13y) | ||
| Richard Arthur Kroll | Registered representative | CFP | Jan 2014 (13y) | |
| Stephen Paul Bredesen | Registered representative | Jan 2014 (13y) | ||
| Kermit K Bolick | Registered representative | Jan 2014 (13y) | ||
| Andrew Thomas Freeman | Registered representative | Feb 2014 (12y) | ||
| Meghan Elizabeth Houck | Registered representative | Feb 2014 (12y) | ||
| Michael Thomas Walsh | Registered representative | Feb 2014 (12y) | ||
| Karl Tariq Lunney | Registered representative | Feb 2014 (12y) | ||
| William Joel Patrick Mannix | Registered representative | Feb 2014 (12y) | ||
| Autumn Heather Katzenmoyer | Registered representative | Mar 2014 (12y) | ||
| Ann Louise Hudson | Registered representative | Mar 2014 (12y) | ||
| Rachael Marie Mckellar | Registered representative | Apr 2014 (12y) | ||
| Igor Ferreira | Registered representative | CFP | May 2014 (12y) | |
| Alonzo Felton Barnes | Registered representative | Jun 2014 (12y) | ||
| David Thomas Howell | Registered representative | CFP Chartered Financial Consultant | Jun 2014 (12y) | |
| Michael Steven Borrelli | Registered representative | Jun 2014 (12y) | ||
| Michael C Palczuk | Registered representative | Jun 2014 (12y) | ||
| Ernest William Dison | Registered representative | Jul 2014 (12y) | ||
| Charles Alan Crews | Registered representative | CFP | Jul 2014 (12y) | |
| Eric Brian Truvillion | Registered representative | Aug 2014 (12y) | ||
| Matthew Dipuppo | Registered representative | CFP | Aug 2014 (12y) | |
| Mark Robert Fry | Registered representative | CFP | Aug 2014 (12y) | |
| Patrick Joseph Berger | Registered representative | Sep 2014 (12y) | ||
| Tyler Joe Stevens | Registered representative | Sep 2014 (12y) | ||
| Vu Hoang Chau | Registered representative | Sep 2014 (12y) | ||
| James Brock Scott | Registered representative | Sep 2014 (12y) | ||
| Lisa Marie Zak | Registered representative | Oct 2014 (12y) | ||
| Lindsay Marie Reams | Registered representative | Oct 2014 (12y) | ||
| Stephen Aaron West | Registered representative | Oct 2014 (12y) | ||
| Stephen P Conk | Registered representative | Nov 2014 (12y) | ||
| Kevin Anthony Mcdonough | Registered representative | Nov 2014 (12y) | ||
| Scott Michael Smith | Registered representative | Dec 2014 (12y) | ||
| Steven D Culp | Registered representative | CFP | Dec 2014 (12y) | |
| Laura Lynn Norcross | Registered representative | Dec 2014 (12y) | ||
| Lisa Ann Hennesay | Registered representative | Dec 2014 (12y) | ||
| Themi Pieropoulos | Registered representative | Jan 2015 (12y) | ||
| Andrew David Widman | Registered representative | Feb 2015 (11y) | ||
| Michael Gene Reynolds | Registered representative | Feb 2015 (11y) | ||
| Joshua Floyd Murdoch | Registered representative | Mar 2015 (11y) | ||
| Howard Robert Gorbach | Registered representative | Mar 2015 (11y) | ||
| Ralph Jeffrey Ulferts | Registered representative | Chartered Financial Consultant | Mar 2015 (11y) | |
| Michael Lee Sohrenssen | Registered representative | Mar 2015 (11y) | ||
| David Allen Stephenson | Registered representative | Mar 2015 (11y) | ||
| Erich Joseph Feller | Registered representative | CFP | Mar 2015 (11y) | |
| Rick Charles Peterson | Registered representative | Apr 2015 (11y) | ||
| Clint David Hinderaker | Registered representative | Apr 2015 (11y) | ||
| Brooke M Harrison | Registered representative | Apr 2015 (11y) | ||
| Shanna Michelle Ross | Registered representative | May 2015 (11y) | ||
| Christopher Michael Jones | Registered representative | May 2015 (11y) | ||
| Norman Edward Ettinger | Registered representative | Jun 2015 (11y) | ||
| Chris Lavelle Johnson | Registered representative | Jun 2015 (11y) | ||
| Debra Lynne Straw | Registered representative | Jun 2015 (11y) | ||
| Josh L Kraft | Registered representative | Jun 2015 (11y) | ||
| Sandra Kay Bawolek | Registered representative | Jun 2015 (11y) | ||
| Stephen Blake Utsler | Registered representative | Jun 2015 (11y) | ||
| Jessica Joy Smith | Registered representative | Jun 2015 (11y) | ||
| Lisa Michelle Wright | Registered representative | Jul 2015 (11y) | ||
| Richard Lawrence Morhardt | Registered representative | Jul 2015 (11y) | ||
| Kevin Charles Collignon | Registered representative | CFP | Aug 2015 (11y) | |
| Kyle Dennis Skinner | Registered representative | Aug 2015 (11y) | ||
| Janet M Smithbower | Registered representative | Aug 2015 (11y) | ||
| Joshua Blair Mortenson | Registered representative | Sep 2015 (11y) | ||
| Donna Lynn Tilden | Registered representative | Chartered Financial Consultant | Sep 2015 (11y) | |
| Geoffrey David Leon Stamp | Registered representative | Sep 2015 (11y) | ||
| Ann Marie Waren | Registered representative | Oct 2015 (11y) | ||
| Roy Houston Johnson | Registered representative | Oct 2015 (11y) | ||
| Candice Marie Fettkether | Registered representative | Oct 2015 (11y) | ||
| Brian Gordon Ellerman | Registered representative | Oct 2015 (11y) | ||
| Brian T Long | Registered representative | Oct 2015 (11y) | ||
| Tyler James Abels | Registered representative | Nov 2015 (11y) | ||
| Jamey Robert Pesek | Registered representative | Nov 2015 (11y) | ||
| Paula Mary Cooley | Registered representative | CFP | Nov 2015 (11y) | |
| Bryce Jonathan Bergey | Registered representative | Nov 2015 (11y) | ||
| John Thomas Hill | Registered representative | Dec 2015 (11y) | ||
| Stephen Dale Northington | Registered representative | Dec 2015 (11y) | ||
| Aaron Stuart Clayberg | Registered representative | Dec 2015 (11y) | ||
| Lawrence Carl Schalles | Registered representative | Jan 2016 (11y) | ||
| Tyler Charles Phelps | Registered representative | Jan 2016 (11y) | ||
| Michelle Kay Hallett | Registered representative | Jan 2016 (11y) | ||
| Justin Reid Terrell | Registered representative | Jan 2016 (11y) | ||
| Deena Carolina Bortscheller | Registered representative | Jan 2016 (11y) | ||
| Jeffry Allen Platter | Registered representative | Jan 2016 (11y) | ||
| Paul Christopher Schreiber | Registered representative | Feb 2016 (10y) | ||
| Jason Samuel Sperry | Registered representative | Feb 2016 (10y) | ||
| Tyler Martin Kubik | Registered representative | Feb 2016 (10y) | ||
| Daniel Joseph Oconnell | Registered representative | Feb 2016 (10y) | ||
| Travis Charles Hilsabeck | Registered representative | Feb 2016 (10y) | ||
| Jairus S Halladay | Registered representative | Mar 2016 (10y) | ||
| Paul Mark Lantz | Registered representative | Mar 2016 (10y) | ||
| John Patrick Burke | Registered representative | Mar 2016 (10y) | ||
| Donald Steven Brovick | Registered representative | Apr 2016 (10y) | ||
| Matthew Martens | Registered representative | Apr 2016 (10y) | ||
| Michael Lee Van Leeuwen | Registered representative | Apr 2016 (10y) | ||
| Tyler F Hughes | Registered representative | Apr 2016 (10y) | ||
| Justin Mitchell Graves | Registered representative | May 2016 (10y) | ||
| Michael David Dostal | Registered representative | May 2016 (10y) | ||
| Nicholas Gene Gabriel | Registered representative | May 2016 (10y) | ||
| Timothy J Harrison | Registered representative | CFP Chartered Financial Consultant | Jun 2016 (10y) | |
| Carey Johnson Hunter | Registered representative | Jun 2016 (10y) | ||
| Jerome Sanders | Registered representative | Jun 2016 (10y) | ||
| Inaam Hussein Ziyadeh | Registered representative | Jun 2016 (10y) | ||
| Michael Richard Deprospero | Registered representative | Jul 2016 (10y) | ||
| Cory Alan Kelly | Registered representative | Jul 2016 (10y) | ||
| Michael Donald Petersen | Registered representative | Jul 2016 (10y) | ||
| Nash Andrew Meland | Registered representative | Jul 2016 (10y) | ||
| Robert Craig Brantley | Registered representative | Jul 2016 (10y) | ||
| Gerald Artemus Nelson | Registered representative | Aug 2016 (10y) | ||
| Lance William Gardner | Registered representative | Aug 2016 (10y) | ||
| William Braden Newland | Registered representative | CFP | Sep 2016 (10y) | |
| Steven Richard Phillips | Registered representative | Sep 2016 (10y) | ||
| Michael Edward Johnson | Registered representative | Chartered Financial Consultant | Sep 2016 (10y) | |
| Jennifer Adamson | Registered representative | Sep 2016 (10y) | ||
| Matthew Edward Fitzgerald | Registered representative | CFP | Oct 2016 (10y) | |
| Ryan Edward Heidrich | Registered representative | Oct 2016 (10y) | ||
| David Philip Lerner | Registered representative | Oct 2016 (10y) | ||
| Clifford James Hall | Registered representative | Nov 2016 (10y) | ||
| Jeff A Schoenekase | Registered representative | Nov 2016 (10y) | ||
| Lane Tyler Johnson | Registered representative | Nov 2016 (10y) | ||
| Lizbeth Anne Mccall | Registered representative | Nov 2016 (10y) | ||
| John Paul Murray | Registered representative | Dec 2016 (10y) | ||
| Brian Michael Goode | Registered representative | Dec 2016 (10y) | ||
| Robert Steven Markle | Registered representative | Dec 2016 (10y) | ||
| Michael Earl Shaver | Registered representative | Dec 2016 (10y) | ||
| Neal Wayne Cloer | Registered representative | Chartered Financial Consultant | Dec 2016 (10y) | |
| Kendall Scott Kruger | Registered representative | Dec 2016 (10y) | ||
| Mark A Kamerzell | Registered representative | Dec 2016 (10y) | ||
| Sarah Anne Frieberg | Registered representative | Dec 2016 (10y) | ||
| Dorothy Marie Therese Welsch | Registered representative | Dec 2016 (10y) | ||
| Ryan Timothy Pope | Registered representative | CFP | Dec 2016 (10y) | |
| Tyrone Joseph Petsche | Registered representative | Chartered Financial Consultant | Dec 2016 (10y) | |
| Kelly Ann Panzanaro | Registered representative | Chartered Financial Consultant | Jan 2017 (10y) | |
| Rupert B Gregorio | Registered representative | Jan 2017 (10y) | ||
| Jeff Oscar Ruen | Registered representative | Jan 2017 (10y) | ||
| Peter Christner Watson | Registered representative | CFP | Jan 2017 (10y) | |
| Jesse Joseph Ickes | Registered representative | Feb 2017 (9y) | ||
| Edythe Anderson Findlay | Registered representative | Feb 2017 (9y) | ||
| Skyler Leigh Roorda | Registered representative | Feb 2017 (9y) | ||
| Steven Patrick Saladino | Registered representative | Feb 2017 (9y) | ||
| John Joseph Woodward | Registered representative | Mar 2017 (9y) | ||
| James Ralph Pappas | Registered representative | Mar 2017 (9y) | ||
| Zachary Thomas Woodward | Registered representative | Mar 2017 (9y) | ||
| Karen Jewell Hamilton | Registered representative | Mar 2017 (9y) | ||
| Jacob Ryan Jewell | Registered representative | Apr 2017 (9y) | ||
| Robert J Bogia | Registered representative | Apr 2017 (9y) | ||
| Travis Mark Borchardt | Registered representative | Apr 2017 (9y) | ||
| Robert James Castle | Registered representative | Apr 2017 (9y) | ||
| Bruce John Swearingen | Registered representative | May 2017 (9y) | ||
| David A Lookadoo | Registered representative | May 2017 (9y) | ||
| Jeffrey Michael Skinner | Registered representative | May 2017 (9y) | ||
| Jeffrey Neal Pelesh | Registered representative | Personal Financial Specialist | May 2017 (9y) | |
| Lyle M Kraft | Registered representative | May 2017 (9y) | ||
| Brent Willis | Registered representative | May 2017 (9y) | ||
| Seth T Morsey | Registered representative | May 2017 (9y) | ||
| Ryan Simmons | Registered representative | Jun 2017 (9y) | ||
| Matthew Peter Kopecky | Registered representative | Jul 2017 (9y) | ||
| Scott Christopher Mead | Registered representative | Jul 2017 (9y) | ||
| Brent David Hinerichsen | Registered representative | Chartered Financial Consultant | Jul 2017 (9y) | |
| Hillary F Strohbeen | Registered representative | Jul 2017 (9y) | ||
| Bradley David Henningfeld | Registered representative | Aug 2017 (9y) | ||
| Bill Sabatka | Registered representative | Aug 2017 (9y) | ||
| Joshua James Herbst | Registered representative | Aug 2017 (9y) | ||
| Verlaine Macclements | Registered representative | CFP | Aug 2017 (9y) | |
| Joseph Richard Sissel | Registered representative | Aug 2017 (9y) | ||
| Kelly Mcbride Atkins | Registered representative | Sep 2017 (9y) | ||
| William Donavan Krag | Registered representative | Sep 2017 (9y) | ||
| Michael Vernon Benninghoven | Registered representative | Oct 2017 (9y) | ||
| James Lawrence Lumley | Registered representative | Oct 2017 (9y) | ||
| Michael Keith Mcdonough | Registered representative | Oct 2017 (9y) | ||
| Michael David Leibig | Registered representative | Oct 2017 (9y) | ||
| Louis Arthur Himelreich | Registered representative | CFP Chartered Financial Consultant | Oct 2017 (9y) | |
| John Joseph Brinkmann | Registered representative | Nov 2017 (9y) | ||
| Bart Maury Conner | Registered representative | Nov 2017 (9y) | ||
| Tonya Michelle Bowcutt Hirte | Registered representative | Nov 2017 (9y) | ||
| Cameron David Brei | Registered representative | Dec 2017 (9y) | ||
| Kevin Michael Phinney | Registered representative | CFP | Dec 2017 (9y) | |
| Christopher Louis Tassone | Registered representative | CFP | Jan 2018 (9y) | |
| Heidi Fishburn Deloit | Registered representative | Jan 2018 (9y) | ||
| Matthew Paul Merry | Registered representative | Jan 2018 (9y) | ||
| Jonathan F Heim | Registered representative | CFP Chartered Financial Consultant | Jan 2018 (9y) | |
| Matthew R Banzhaf | Registered representative | CFP | Jan 2018 (9y) | |
| Patrick J Sullivan | Registered representative | Jan 2018 (9y) | ||
| Jason Baldwin Brown | Registered representative | Feb 2018 (8y) | ||
| Nicholas Joseph Maucieri | Registered representative | Feb 2018 (8y) | ||
| Stephen S Swingle | Registered representative | Feb 2018 (8y) | ||
| Harold Mc Intosh | Registered representative | Feb 2018 (8y) | ||
| Kieran Michael Casey | Registered representative | Feb 2018 (8y) | ||
| Ricky Romasanta | Registered representative | Feb 2018 (8y) | ||
| Andrew Jay Himelson | Registered representative | Mar 2018 (8y) | ||
| Jess Jerome Humpal | Registered representative | Mar 2018 (8y) | ||
| Philip R Deutsch | Registered representative | Mar 2018 (8y) | ||
| Robert Allen Little | Registered representative | Apr 2018 (8y) | ||
| Mari Jo Beeler | Registered representative | Apr 2018 (8y) | ||
| Brandon G Prior | Registered representative | Apr 2018 (8y) | ||
| Jennifer Mackenzie | Registered representative | May 2018 (8y) | ||
| Vincent Joseph Kotarski | Registered representative | May 2018 (8y) | ||
| Amit Patel | Registered representative | May 2018 (8y) | ||
| Donna Marie Dunne | Registered representative | May 2018 (8y) | ||
| Sean Patrick Grannan | Registered representative | May 2018 (8y) | ||
| Nathan Javier Morales | Registered representative | CFP | May 2018 (8y) | |
| Kolton Robert Knox | Registered representative | Jun 2018 (8y) | ||
| Brian Patrick Thornton | Registered representative | CFP | Jun 2018 (8y) | |
| Eric Edward Howard | Registered representative | Jun 2018 (8y) | ||
| Kerolous N Botros | Registered representative | Jul 2018 (8y) | ||
| Austin Michael Swantz | Registered representative | Jul 2018 (8y) | ||
| Erik Christopher Mitchell | Registered representative | Jul 2018 (8y) | ||
| Leaann Michalle Moore | Registered representative | Jul 2018 (8y) | ||
| Louis Francis Robert | Registered representative | Jul 2018 (8y) | ||
| Brandon Littleton | Registered representative | CFP | Jul 2018 (8y) | |
| Richard Albert Long | Registered representative | Jul 2018 (8y) | ||
| Barry Adam Tewes | Registered representative | Aug 2018 (8y) | ||
| Jacob Daniel Stansfield | Registered representative | Aug 2018 (8y) | ||
| Craig Brian Miller | Registered representative | CFP | Aug 2018 (8y) | |
| Dustin Patrick Pugh | Registered representative | Aug 2018 (8y) | ||
| John D Klopfenstein | Registered representative | Aug 2018 (8y) | ||
| Gary Patrick Heatherington | Registered representative | Aug 2018 (8y) | ||
| Michael Philip Dwyer | Registered representative | Sep 2018 (8y) | ||
| William Lamont Jaconette | Registered representative | Sep 2018 (8y) | ||
| Camila Moulin | Registered representative | Sep 2018 (8y) | ||
| Colleen Murphy Clements | Registered representative | Sep 2018 (8y) | ||
| Joseph Ross Pearcy | Registered representative | Sep 2018 (8y) | ||
| Tyler Mckenzie Welter | Registered representative | Oct 2018 (8y) | ||
| Eric J Kuitu | Registered representative | CFP | Oct 2018 (8y) | |
| Bryan R Powell | Registered representative | Oct 2018 (8y) | ||
| Frank Pugliese | Registered representative | Oct 2018 (8y) | ||
| Candence Sue Bidler Hurley | Registered representative | Oct 2018 (8y) | ||
| Gregory T Laudadio | Registered representative | CFP | Oct 2018 (8y) | |
| Tyler R Auman | Registered representative | Oct 2018 (8y) | ||
| Marc Matthew Clauser | Registered representative | Oct 2018 (8y) | ||
| Sydney Alexander Manderson | Registered representative | Nov 2018 (8y) | ||
| Brian Franklin Miller | Registered representative | Nov 2018 (8y) | ||
| Bryce Anthony Harris | Registered representative | CFP | Nov 2018 (8y) | |
| Ryan Joseph Drake | Registered representative | Nov 2018 (8y) | ||
| Tanner Beavers | Registered representative | Nov 2018 (8y) | ||
| Justin Royal Kuitu | Registered representative | Dec 2018 (8y) | ||
| Connor Mckeen | Registered representative | Dec 2018 (8y) | ||
| Lori Suzanne Nadglowski | Registered representative | CFP | Dec 2018 (8y) | |
| Andrew Vandehey | Registered representative | CFP | Jan 2019 (8y) | |
| Carter E Bailey Steil | Registered representative | Jan 2019 (8y) | ||
| Kammie Lora Grytdahl | Registered representative | Jan 2019 (8y) | ||
| David Rutherford Griffith | Registered representative | Feb 2019 (7y) | ||
| Eric Michael Turner | Registered representative | Feb 2019 (7y) | ||
| Michael Spencer Burke | Registered representative | Feb 2019 (7y) | ||
| Richard Alan Schweninger | Registered representative | Feb 2019 (7y) | ||
| Cody Alan Schweninger | Registered representative | Mar 2019 (7y) | ||
| Jason Edward Rhodes | Registered representative | Mar 2019 (7y) | ||
| Arthur Cheh Hung | Registered representative | Mar 2019 (7y) | ||
| Darin Lowell Hood | Registered representative | Mar 2019 (7y) | ||
| Jakob Bower | Registered representative | Apr 2019 (7y) | ||
| Jeffrey Lewis Zorn | Registered representative | Apr 2019 (7y) | ||
| John Timothy Madden | Registered representative | Apr 2019 (7y) | ||
| Christian William Mcgowan | Registered representative | Apr 2019 (7y) | ||
| Justin Garofalo | Registered representative | Apr 2019 (7y) | ||
| Joseph D Bauer | Registered representative | CFP | May 2019 (7y) | |
| Gary James Zweschper | Registered representative | May 2019 (7y) | ||
| Ryan P Scott | Registered representative | CFP Chartered Financial Consultant | May 2019 (7y) | |
| Chuong Quoc Thi | Registered representative | May 2019 (7y) | ||
| David Ray Sims | Registered representative | CFP | May 2019 (7y) | |
| Jeffrey Michael Beck | Registered representative | May 2019 (7y) | ||
| Charles John Frein | Registered representative | May 2019 (7y) | ||
| Tara Jeannette Hulse | Registered representative | May 2019 (7y) | ||
| Kamaljit Singh Kaushal | Registered representative | May 2019 (7y) | ||
| Thomas John Durkin | Registered representative | May 2019 (7y) | ||
| Rudolfo Mark Capobres | Registered representative | Jun 2019 (7y) | ||
| Marc Anthony Shepherd | Registered representative | Jun 2019 (7y) | ||
| Kei David Engel | Registered representative | Jun 2019 (7y) | ||
| Grady N Smith | Registered representative | Jun 2019 (7y) | ||
| Alyssa Lee Vowell | Registered representative | Jun 2019 (7y) | ||
| Randy Michael Osterman | Registered representative | Jun 2019 (7y) | ||
| John A Langley | Registered representative | CFP | Jul 2019 (7y) | |
| David Eugene Schwartz | Registered representative | CFP | Jul 2019 (7y) | |
| Joshua Thomas Wheatley | Registered representative | Jul 2019 (7y) | ||
| Gabriela Sanchez Heffernan | Registered representative | Aug 2019 (7y) | ||
| David Michael Tursi | Registered representative | Aug 2019 (7y) | ||
| Angus Andre Mcrae | Registered representative | Aug 2019 (7y) | ||
| Jeffrey Scott Overson | Registered representative | Chartered Financial Consultant | Aug 2019 (7y) | |
| Kevin Corey Christensen | Registered representative | Chartered Financial Consultant | Sep 2019 (7y) | |
| Derek M Hertges | Registered representative | Sep 2019 (7y) | ||
| Garrett Matthew Ford | Registered representative | CFP | Oct 2019 (7y) | |
| Peter Hutton Webster | Registered representative | Oct 2019 (7y) | ||
| Robert Alvin Jenkins | Registered representative | Oct 2019 (7y) | ||
| Mike Anthony Priestley | Registered representative | Oct 2019 (7y) | ||
| Mitchell Andrew Storr | Registered representative | Nov 2019 (7y) | ||
| Andrea Lea Benson | Registered representative | Nov 2019 (7y) | ||
| Nicholas David Wittenburg | Registered representative | Nov 2019 (7y) | ||
| Andrea C Hardy | Registered representative | CFP Chartered Financial Consultant | Nov 2019 (7y) | |
| Renante Bagain Cadiz | Registered representative | Nov 2019 (7y) | ||
| Nicolas Paul Caradonna | Registered representative | Nov 2019 (7y) | ||
| Lynn Margaret Cowman | Registered representative | Nov 2019 (7y) | ||
| Maria Luisa Grieco | Registered representative | Dec 2019 (7y) | ||
| Mary Catherine Vandyke | Registered representative | Dec 2019 (7y) | ||
| Brian M Howarth | Registered representative | Dec 2019 (7y) | ||
| Lindsey Marysa Bessy | Registered representative | Jan 2020 (7y) | ||
| Logan M Baber | Registered representative | CFP | Jan 2020 (7y) | |
| Paul David Adkins | Registered representative | Jan 2020 (7y) | ||
| Daniel David Graham | Registered representative | Jan 2020 (7y) | ||
| Juergen Schatzer | Registered representative | Jan 2020 (7y) | ||
| Jonathan Paul Pipho | Registered representative | Jan 2020 (7y) | ||
| Peter Aaron Rose | Registered representative | Jan 2020 (7y) | ||
| Brant Lawrence Meyer | Registered representative | Jan 2020 (7y) | ||
| Craig Timothy Charlton | Registered representative | Jan 2020 (7y) | ||
| Christopher John Zug | Registered representative | Jan 2020 (7y) | ||
| Daniel Curtis Frasier | Registered representative | CFA | Jan 2020 (7y) | |
| Nicholas R Flatness | Registered representative | Feb 2020 (6y) | ||
| William Edward Poindexter | Registered representative | Feb 2020 (6y) | ||
| Jordan Christine Vandehey | Registered representative | Feb 2020 (6y) | ||
| Richard A Lewis | Registered representative | Feb 2020 (6y) | ||
| Kristin E Hall | Registered representative | Feb 2020 (6y) | ||
| Jeremiah Thomas Miller | Registered representative | Feb 2020 (6y) | ||
| Melissa Ann Couch | Registered representative | Feb 2020 (6y) | ||
| Nicholas Handeland | Registered representative | Mar 2020 (6y) | ||
| Nelson Hunter Saladino | Registered representative | Mar 2020 (6y) | ||
| Joseph T Zidon | Registered representative | Mar 2020 (6y) | ||
| Ray Frank Avrett | Registered representative | Mar 2020 (6y) | ||
| Todd Michael Schoonover | Registered representative | Mar 2020 (6y) | ||
| Erin Rachelle Walters | Registered representative | Apr 2020 (6y) | ||
| Todd Allen Zimmermann | Registered representative | May 2020 (6y) | ||
| Daniel Scott Woodham | Registered representative | May 2020 (6y) | ||
| Joseph Arthur Lloyd | Registered representative | May 2020 (6y) | ||
| Alec Thomas Sindelar | Registered representative | Jun 2020 (6y) | ||
| Kyle M Kanaskie | Registered representative | Jun 2020 (6y) | ||
| Matthew Paul Dietzenbach | Registered representative | Jun 2020 (6y) | ||
| Jill Alicia Leland | Registered representative | CFP Chartered Financial Consultant | Jun 2020 (6y) | |
| Jorge Ivan Seda Rivera | Registered representative | CFP | Jun 2020 (6y) | |
| Terek James Glenetski | Registered representative | Jul 2020 (6y) | ||
| Alysha Marie Humbert | Registered representative | Jul 2020 (6y) | ||
| Wesley Walton Cyrus | Registered representative | Jul 2020 (6y) | ||
| Marcus J Wilcke | Registered representative | Aug 2020 (6y) | ||
| Mark Moore Purcell | Registered representative | Aug 2020 (6y) | ||
| Ciaran Sean Cummins | Registered representative | Aug 2020 (6y) | ||
| James Robert Mccann | Registered representative | Aug 2020 (6y) | ||
| James Richard Kearney | Registered representative | Sep 2020 (6y) | ||
| Joshua Colben Saboe | Registered representative | CFP | Sep 2020 (6y) | |
| Madisyn Lynn Muller | Registered representative | CFP | Sep 2020 (6y) | |
| Tyler Scott Johnson | Registered representative | CFP | Sep 2020 (6y) | |
| Matthew Winston Sheirer | Registered representative | Sep 2020 (6y) | ||
| David M Bellia | Registered representative | Sep 2020 (6y) | ||
| Zachary Elinich | Registered representative | Oct 2020 (6y) | ||
| Britney Cheree Carpenter | Registered representative | CFP | Oct 2020 (6y) | |
| Randall Scott Flinn | Registered representative | Oct 2020 (6y) | ||
| Bryan Gregory Fiala | Registered representative | CFP | Nov 2020 (6y) | |
| Michael Patrick Conlon | Registered representative | CFP | Nov 2020 (6y) | |
| Joseph Richard Vetrano | Registered representative | Nov 2020 (6y) | ||
| John C Barclay | Registered representative | Dec 2020 (6y) | ||
| Abby Jean Brekke | Registered representative | Dec 2020 (6y) | ||
| Christopher Nicholas Du Bos | Registered representative | Jan 2021 (6y) | ||
| William F Daines | Registered representative | CFP | Jan 2021 (6y) | |
| Luke Jay Reilly | Registered representative | Jan 2021 (6y) | ||
| Matthew W Kulla | Registered representative | Jan 2021 (6y) | ||
| Dane V Carlini | Registered representative | Jan 2021 (6y) | ||
| Justin Dakota Chandler | Registered representative | CFP | Jan 2021 (6y) | |
| Peter Edward Johnson | Registered representative | Jan 2021 (6y) | ||
| Scott David Steger | Registered representative | Jan 2021 (6y) | ||
| Michael Craig Darrington | Registered representative | Jan 2021 (6y) | ||
| David James Vartanian | Registered representative | Feb 2021 (5y) | ||
| Wesley Aaron Siebert | Registered representative | Feb 2021 (5y) | ||
| Benjamin T Custer | Registered representative | Mar 2021 (5y) | ||
| Robert James Beck | Registered representative | Chartered Financial Consultant | Mar 2021 (5y) | |
| William Matthew Schumaker | Registered representative | Mar 2021 (5y) | ||
| David Philip Bournival | Registered representative | Mar 2021 (5y) | ||
| Joel E Brotherton | Registered representative | Mar 2021 (5y) | ||
| Pablo O Montero Bianchi | Registered representative | CFP | Mar 2021 (5y) | |
| Brady William Baxter | Registered representative | Mar 2021 (5y) | ||
| Jacob L Repp | Registered representative | Mar 2021 (5y) | ||
| Justin Lee Boyd | Registered representative | Mar 2021 (5y) | ||
| Daniel Lee Woessner | Registered representative | Mar 2021 (5y) | ||
| Matthew Richard Laudadio | Registered representative | Apr 2021 (5y) | ||
| Matthew Cameron Griffin | Registered representative | CFA | Apr 2021 (5y) | |
| William Justin Nichols | Registered representative | May 2021 (5y) | ||
| Jeffrey Ray Harper | Registered representative | May 2021 (5y) | ||
| Kara Renee Rauert | Registered representative | May 2021 (5y) | ||
| Debra Lynn Fehl | Registered representative | May 2021 (5y) | ||
| Allison Elizabeth Smith | Registered representative | Jun 2021 (5y) | ||
| Curtis W Diekevers | Registered representative | Jun 2021 (5y) | ||
| Mark Edward Feld | Registered representative | Jun 2021 (5y) | ||
| Sanne Jensen | Registered representative | Jun 2021 (5y) | ||
| Amin Ur Rashid | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Chanell Tomika Carter | Registered representative | Jun 2021 (5y) | ||
| Kasey Marie Gray | Registered representative | CFP | Jun 2021 (5y) | |
| Omar Shaukat | Registered representative | Jun 2021 (5y) | ||
| Richard Andrew Garcia | Registered representative | Jun 2021 (5y) | ||
| Timothy John Thoele | Registered representative | Jun 2021 (5y) | ||
| Blaine William Laverick | Registered representative | Jun 2021 (5y) | ||
| Charles Edward Mcdaniels | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Alexander Rabinovich | Registered representative | Jun 2021 (5y) | ||
| Brandon Powers | Registered representative | Jun 2021 (5y) | ||
| Christopher J Midecke | Registered representative | Jun 2021 (5y) | ||
| Curtis Timothy Corkey | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Dominic Frank Pellicano | Registered representative | Jun 2021 (5y) | ||
| Douglas Peter Castren | Registered representative | Jun 2021 (5y) | ||
| Duncan Ian Radcliffe | Registered representative | Chartered Financial Consultant | Jun 2021 (5y) | |
| Francis Dispigna | Registered representative | Jun 2021 (5y) | ||
| Gabriel Martin Cesar | Registered representative | CFP | Jun 2021 (5y) | |
| Jeffrey David Soares | Registered representative | Jun 2021 (5y) | ||
| Jeffrey P Francisco | Registered representative | Jun 2021 (5y) | ||
| Jeffrey Todd Douglass | Registered representative | Jun 2021 (5y) | ||
| Jonathan Anthony Donatelli | Registered representative | CFP | Jun 2021 (5y) | |
| Joseph F Bethmann | Registered representative | Jun 2021 (5y) | ||
| Joseph Francis Martin | Registered representative | CFP | Jun 2021 (5y) | |
| Kendl C Fulco | Registered representative | Jun 2021 (5y) | ||
| Kim M Hall | Registered representative | Jun 2021 (5y) | ||
| Mark B Avery | Registered representative | Jun 2021 (5y) | ||
| Mark Rappoport | Registered representative | Jun 2021 (5y) | ||
| Martha Ann Nielsen | Registered representative | CFP | Jun 2021 (5y) | |
| Matthew J Mazzone | Registered representative | Jun 2021 (5y) | ||
| Matthew James Hamel | Registered representative | CFP | Jun 2021 (5y) | |
| Melissa Knights Bertrand | Registered representative | Jun 2021 (5y) | ||
| Miles Anthony | Registered representative | Jun 2021 (5y) | ||
| Nancy A Protopapas | Registered representative | Jun 2021 (5y) | ||
| Patrick Gabriel Oconnell | Registered representative | Jun 2021 (5y) | ||
| Paul Francis Clarke | Registered representative | Jun 2021 (5y) | ||
| Paul John Podsiadlo | Registered representative | CFP | Jun 2021 (5y) | |
| Peter Charles Major | Registered representative | Jun 2021 (5y) | ||
| Roger Goren | Registered representative | Jun 2021 (5y) | ||
| Ronald Walter Sporyz | Registered representative | CFP Chartered Financial Consultant | Jun 2021 (5y) | |
| Sean P Oconnor | Registered representative | Jun 2021 (5y) | ||
| Timothy Patrick Mcparland | Registered representative | Jun 2021 (5y) | ||
| Caleb Robert Robinson | Registered representative | Jul 2021 (5y) | ||
| Seth Mc Luen Coleman | Registered representative | Jul 2021 (5y) | ||
| Scott Joseph Powhida | Registered representative | CFP | Jul 2021 (5y) | |
| Thomas James Kleffman | Registered representative | Jul 2021 (5y) | ||
| Lawrence Michael Dillon | Registered representative | CFP Chartered Financial Consultant | Sep 2021 (5y) | |
| Simon N Villegas | Registered representative | Sep 2021 (5y) | ||
| Scott Hayden Williams | Registered representative | Sep 2021 (5y) | ||
| William Donald Gross | Registered representative | Sep 2021 (5y) | ||
| Stephen J Viereck | Registered representative | Oct 2021 (5y) | ||
| Michael John Simmons | Registered representative | Oct 2021 (5y) | ||
| Howard Patrick Greene | Registered representative | Oct 2021 (5y) | ||
| Mario Anthony Rector | Registered representative | Oct 2021 (5y) | ||
| Nancy V Fischer | Registered representative | Oct 2021 (5y) | ||
| Brendan John Dwyer | Registered representative | Oct 2021 (5y) | ||
| David M Bender | Registered representative | Oct 2021 (5y) | ||
| Steven Thomas Lowe | Registered representative | Oct 2021 (5y) | ||
| Karen Lomas | Registered representative | Oct 2021 (5y) | ||
| Jake A Fashner | Registered representative | Nov 2021 (5y) | ||
| Marc D Turgeon | Registered representative | Nov 2021 (5y) | ||
| Jesse Thomas Zahn | Registered representative | Nov 2021 (5y) | ||
| Tucker J Rohde | Registered representative | Nov 2021 (5y) | ||
| Benjamin Thomas Macgowan | Registered representative | CFP | Nov 2021 (5y) | |
| Benjamin Earl Hardy | Registered representative | Nov 2021 (5y) | ||
| Travis Richard Lorenz | Registered representative | Dec 2021 (5y) | ||
| Brett Alexander Miller | Registered representative | Dec 2021 (5y) | ||
| Chad C Basel | Registered representative | Dec 2021 (5y) | ||
| Josie Anne Reekers | Registered representative | Jan 2022 (5y) | ||
| Derek James Miller | Registered representative | Jan 2022 (5y) | ||
| Larry Earl Swinson | Registered representative | Jan 2022 (5y) | ||
| Antony Byron Barber | Registered representative | Jan 2022 (5y) | ||
| Parker Wakefield Smith | Registered representative | Jan 2022 (5y) | ||
| Kimberly Carolina Figueroa | Registered representative | Jan 2022 (5y) | ||
| Blake Ramsey | Registered representative | Jan 2022 (5y) | ||
| Travis R Poole | Registered representative | CFP | Jan 2022 (5y) | |
| Eduardo Mendoza | Registered representative | Jan 2022 (5y) | ||
| Kenneth Todd Gellerstedt | Registered representative | Feb 2022 (4y) | ||
| Russell Postell | Registered representative | Feb 2022 (4y) | ||
| Carl Roger Hendrix | Registered representative | Feb 2022 (4y) | ||
| Christopher Alan Richey | Registered representative | Feb 2022 (4y) | ||
| Jamie Christine Ororke | Registered representative | Feb 2022 (4y) | ||
| Michael Grant Sullivan | Registered representative | Feb 2022 (4y) | ||
| Janice W Adams | Registered representative | Mar 2022 (4y) | ||
| Tedd Michael Muersch | Registered representative | Mar 2022 (4y) | ||
| Kyung Suk Chang | Registered representative | Apr 2022 (4y) | ||
| Angus Mclean Mcrae | Registered representative | Apr 2022 (4y) | ||
| Lawrence Graham Stidham | Registered representative | Apr 2022 (4y) | ||
| Cindy Lee Giacometto | Registered representative | Apr 2022 (4y) | ||
| Meghan M Mcguire | Registered representative | Apr 2022 (4y) | ||
| John Stephen Burke | Registered representative | May 2022 (4y) | ||
| Adam Gerhard Woxland | Registered representative | May 2022 (4y) | ||
| Douglas Wayne Rosendahl | Registered representative | May 2022 (4y) | ||
| Lisa Mc Clelland | Registered representative | May 2022 (4y) | ||
| Michelle Leigh Campbell | Registered representative | May 2022 (4y) | ||
| Tyler J Loeffelholz | Registered representative | May 2022 (4y) | ||
| Ryan Flore | Registered representative | Jun 2022 (4y) | ||
| Justin Nicholas Spinello | Registered representative | Jun 2022 (4y) | ||
| Anthony Battle | Registered representative | Jun 2022 (4y) | ||
| Michael James Syrowski | Registered representative | Jun 2022 (4y) | ||
| Sara Marie Bodnar | Registered representative | Jun 2022 (4y) | ||
| Jeffrey James Riegle | Registered representative | Jun 2022 (4y) | ||
| Thomas Hoffman | Registered representative | Jun 2022 (4y) | ||
| Mark Steven Feldman | Registered representative | Jul 2022 (4y) | ||
| Michael Vincent Spadafore | Registered representative | Jul 2022 (4y) | ||
| Michael Robert Appel | Registered representative | Jul 2022 (4y) | ||
| Bryan Petrucci | Registered representative | Jul 2022 (4y) | ||
| David Mcneilly | Registered representative | Chartered Financial Consultant | Jul 2022 (4y) | |
| Kerry D Rogers | Registered representative | Jul 2022 (4y) | ||
| Martin Wayne Pyle | Registered representative | CFP | Jul 2022 (4y) | |
| Chauncey R Thomas | Registered representative | Jul 2022 (4y) | ||
| Garrick Scot Sasa | Registered representative | Jul 2022 (4y) | ||
| Melissa N Hollon | Registered representative | Jul 2022 (4y) | ||
| Michael Alexander Jones | Registered representative | Jul 2022 (4y) | ||
| Nicholas L Albani | Registered representative | Jul 2022 (4y) | ||
| Richard Charles Love | Registered representative | Jul 2022 (4y) | ||
| Alexandria Ide Morris Tursi | Registered representative | Aug 2022 (4y) | ||
| Elizabeth Snodgrass | Registered representative | Aug 2022 (4y) | ||
| Barry Lynn Steim | Registered representative | Aug 2022 (4y) | ||
| Dale Duane Bartlett | Registered representative | Aug 2022 (4y) | ||
| Jennifer Leigh Craddock | Registered representative | CFP | Aug 2022 (4y) | |
| Jeremy Michael Connally | Registered representative | CFP Chartered Financial Consultant | Sep 2022 (4y) | |
| Tania Cabrera | Registered representative | Sep 2022 (4y) | ||
| Josefina Hernandez | Registered representative | Sep 2022 (4y) | ||
| Daniel Philip Essian | Registered representative | Sep 2022 (4y) | ||
| Shareef Anthony Doumet | Registered representative | Sep 2022 (4y) | ||
| Matthew Thomas Grannan | Registered representative | Sep 2022 (4y) | ||
| Malia Koontz | Registered representative | Sep 2022 (4y) | ||
| Joseph Barbagallo | Registered representative | Sep 2022 (4y) | ||
| Adam David Bramley | Registered representative | Sep 2022 (4y) | ||
| Jared Wayne Darrington | Registered representative | CFP | Oct 2022 (4y) | |
| Richlieu Berkley | Registered representative | Oct 2022 (4y) | ||
| Travis Denkenberger | Registered representative | CFP | Oct 2022 (4y) | |
| Kimberly Jean Roethel | Registered representative | Oct 2022 (4y) | ||
| Casey John Meyer | Registered representative | Oct 2022 (4y) | ||
| Dominic Carmine Severino | Registered representative | Nov 2022 (4y) | ||
| Monique Hiersche Kusman | Registered representative | Nov 2022 (4y) | ||
| William James Robinson | Registered representative | Dec 2022 (4y) | ||
| Kimberly Anne Vielhaber Greiwe | Registered representative | CFP | Dec 2022 (4y) | |
| Diego Armando Verdugo | Registered representative | CFP | Dec 2022 (4y) | |
| Eric Mark Miller | Registered representative | Dec 2022 (4y) | ||
| Nicholas Leo Weix | Registered representative | Dec 2022 (4y) | ||
| Adelaide Pund | Registered representative | Dec 2022 (4y) | ||
| Richard Matthew Decker | Registered representative | CFP | Jan 2023 (4y) | |
| Carolyn May Seiter | Registered representative | CFP | Jan 2023 (4y) | |
| Dennis Egan Lusk | Registered representative | Jan 2023 (4y) | ||
| Juan Carlos Barcena | Registered representative | Jan 2023 (4y) | ||
| Kathleen Ann Riocci | Registered representative | Jan 2023 (4y) | ||
| Signe Olson | Registered representative | Jan 2023 (4y) | ||
| John Joseph Pallaria | Registered representative | CFP | Jan 2023 (4y) | |
| Jonathan Paul Faber | Registered representative | Jan 2023 (4y) | ||
| Wesley Upah | Registered representative | Jan 2023 (4y) | ||
| Matthew Brown | Registered representative | Jan 2023 (4y) | ||
| Daniel P Cox | Registered representative | Jan 2023 (4y) | ||
| Michael Leonard Weber | Registered representative | Jan 2023 (4y) | ||
| Clifton Ray Hughes | Registered representative | Jan 2023 (4y) | ||
| John Archibald Oneill | Registered representative | CFP | Jan 2023 (4y) | |
| Sunday Fischer | Registered representative | Jan 2023 (4y) | ||
| Seth Dhaenens | Registered representative | Chartered Financial Consultant | Jan 2023 (4y) | |
| Susan Ann Kleczkowski | Registered representative | Jan 2023 (4y) | ||
| Swaroop Kumar Murki | Registered representative | Feb 2023 (3y) | ||
| Jonathan F Pereira | Registered representative | Feb 2023 (3y) | ||
| Joseph Hunter Looney | Registered representative | Feb 2023 (3y) | ||
| Michael David Fazio | Registered representative | Feb 2023 (3y) | ||
| James Donald Sams | Registered representative | Feb 2023 (3y) | ||
| Logan Kirk | Registered representative | Feb 2023 (3y) | ||
| Angele Aitwal Watson | Registered representative | Mar 2023 (3y) | ||
| Anthony Hamburge | Registered representative | Mar 2023 (3y) | ||
| Carson Wirges | Registered representative | Mar 2023 (3y) | ||
| Nathaniel Leavitt Kidd | Registered representative | Mar 2023 (3y) | ||
| Andrew Richard Esposito | Registered representative | Mar 2023 (3y) | ||
| John Frederick Robinson | Registered representative | Mar 2023 (3y) | ||
| Gregory Jerrold Allen | Registered representative | Mar 2023 (3y) | ||
| Evan Federman | Registered representative | Apr 2023 (3y) | ||
| Patrick Collier Carrigan | Registered representative | CFP | Apr 2023 (3y) | |
| Ryan Christopher Mazurek | Registered representative | Apr 2023 (3y) | ||
| Karina Marquez | Registered representative | Apr 2023 (3y) | ||
| Roberto Antonio Rodriguez | Registered representative | Apr 2023 (3y) | ||
| Aaron John Imholte | Registered representative | CFP | Apr 2023 (3y) | |
| Andrew Mark Albers | Registered representative | Apr 2023 (3y) | ||
| Holly Ann Utermoehlen | Registered representative | Apr 2023 (3y) | ||
| Jason James Renskers | Registered representative | May 2023 (3y) | ||
| Christy Lynne Nelson | Registered representative | Chartered Financial Consultant | May 2023 (3y) | |
| Michael Liguori | Registered representative | May 2023 (3y) | ||
| Antonio Carter | Registered representative | May 2023 (3y) | ||
| Adam Zain Justus Shah | Registered representative | CFA | May 2023 (3y) | |
| Ashley Kate Call | Registered representative | CFP | May 2023 (3y) | |
| Lisa J Hunter | Registered representative | May 2023 (3y) | ||
| Miranda Corinne Barcena | Registered representative | May 2023 (3y) | ||
| Jennifer Marie Streit | Registered representative | Jun 2023 (3y) | ||
| Matthew Walter Dobbins | Registered representative | Jun 2023 (3y) | ||
| Jone Elam Liuzza | Registered representative | Jun 2023 (3y) | ||
| Todd J. Barden | Registered representative | CFP | Jun 2023 (3y) | |
| Sai Krishna Poduri | Registered representative | Jun 2023 (3y) | ||
| Robert Campbell Bailey | Registered representative | Jun 2023 (3y) | ||
| Griffin Wlliam Trout | Registered representative | Jun 2023 (3y) | ||
| Martin Dean Marino | Registered representative | Jun 2023 (3y) | ||
| Sandra Dittus | Registered representative | CFP Personal Financial Specialist | Jul 2023 (3y) | |
| Damien Anthony Martinez | Registered representative | Jul 2023 (3y) | ||
| Aimee Lynne Hendershott | Registered representative | Jul 2023 (3y) | ||
| Amanda Santillan | Registered representative | Jul 2023 (3y) | ||
| Matthew C Pinkerton | Registered representative | Jul 2023 (3y) | ||
| James Michael Vanberkum | Registered representative | Jul 2023 (3y) | ||
| Andrew Micheal Martin | Registered representative | Jul 2023 (3y) | ||
| Deborah Jane Necciai | Registered representative | Jul 2023 (3y) | ||
| Mitchell G Massino | Registered representative | Jul 2023 (3y) | ||
| Casey Kenneth Leanna | Registered representative | Jul 2023 (3y) | ||
| Tracy Gran | Registered representative | Aug 2023 (3y) | ||
| Dwight Christopher Larkin | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| John Eugene Goodwin | Registered representative | Chartered Financial Consultant | Aug 2023 (3y) | |
| Benjamin Hughes Kopp | Registered representative | Aug 2023 (3y) | ||
| Robert David Albert | Registered representative | Aug 2023 (3y) | ||
| Robert Joseph Pysk | Registered representative | Aug 2023 (3y) | ||
| Kyle Roger Benham | Registered representative | Aug 2023 (3y) | ||
| Marjory Grannis Blackmer | Registered representative | Aug 2023 (3y) | ||
| Michael Alexander Rivera | Registered representative | Aug 2023 (3y) | ||
| Phillip J Barbaria | Registered representative | Aug 2023 (3y) | ||
| Nicholas Michael Darrah | Registered representative | Aug 2023 (3y) | ||
| Norman Frank Pierce | Registered representative | Aug 2023 (3y) | ||
| William Ernest Griffith | Registered representative | Aug 2023 (3y) | ||
| Sarah Michelle Schoeplein | Registered representative | Aug 2023 (3y) | ||
| Thane Timothy Hein | Registered representative | Aug 2023 (3y) | ||
| Anna Dearborn | Registered representative | Sep 2023 (3y) | ||
| Brandon Alan Hauck | Registered representative | Sep 2023 (3y) | ||
| Scott Matthew Irwin | Registered representative | Sep 2023 (3y) | ||
| Shawn Jay Bedford | Registered representative | Sep 2023 (3y) | ||
| Katie Michelle Ogden | Registered representative | Sep 2023 (3y) | ||
| Casey Evan Clark | Registered representative | Sep 2023 (3y) | ||
| Michael Peter Troy | Registered representative | Sep 2023 (3y) | ||
| Gregory P Forte | Registered representative | Sep 2023 (3y) | ||
| Michael Enriquez | Registered representative | Sep 2023 (3y) | ||
| Thomas Joseph Johnson | Registered representative | Sep 2023 (3y) | ||
| Ted R Ramaekers | Registered representative | Sep 2023 (3y) | ||
| Victoria Dunlap | Registered representative | Sep 2023 (3y) | ||
| Jeffrey Jay Jensen | Registered representative | Sep 2023 (3y) | ||
| Joshua Paul Flint | Registered representative | Sep 2023 (3y) | ||
| Bailey Rose Warrick | Registered representative | Sep 2023 (3y) | ||
| Grant Patrick Reding | Registered representative | Chartered Financial Consultant | Sep 2023 (3y) | |
| Steve James Verhasselt | Registered representative | Sep 2023 (3y) | ||
| Rajpreet S Sangha | Registered representative | Sep 2023 (3y) | ||
| Kenneth Sjef Van Asdonk | Registered representative | Sep 2023 (3y) | ||
| Benjamin John Spence | Registered representative | Oct 2023 (3y) | ||
| Steven Mark Handeland | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Jason Dean Stahl | Registered representative | Oct 2023 (3y) | ||
| Snigdha Adhikari | Registered representative | Oct 2023 (3y) | ||
| Tanner Steffan | Registered representative | Oct 2023 (3y) | ||
| Marlon Jean Shkaidy | Registered representative | Oct 2023 (3y) | ||
| Andrew David Miner | Registered representative | Oct 2023 (3y) | ||
| Kimberly A Etchings Dolce | Registered representative | Oct 2023 (3y) | ||
| John Thomas Hopper | Registered representative | Chartered Financial Consultant | Oct 2023 (3y) | |
| Lee Edward Hopper | Registered representative | Oct 2023 (3y) | ||
| Richard H Addy | Registered representative | Oct 2023 (3y) | ||
| Matthew Paul Giesler | Registered representative | Oct 2023 (3y) | ||
| Holly Willis Onda | Registered representative | Oct 2023 (3y) | ||
| Anthony Michael Bucceri | Registered representative | Oct 2023 (3y) | ||
| Amy Austin Roxin | Registered representative | Oct 2023 (3y) | ||
| Andrew Michael Tillery | Registered representative | Nov 2023 (3y) | ||
| Eric Joseph Krumm | Registered representative | Nov 2023 (3y) | ||
| Tod David Ross | Registered representative | Nov 2023 (3y) | ||
| Anthony Michael Pizzariello | Registered representative | Nov 2023 (3y) | ||
| Dax James Welsheimer | Registered representative | Chartered Financial Consultant | Nov 2023 (3y) | |
| Emily Winter Hicks | Registered representative | Nov 2023 (3y) | ||
| Scarlett Rebecca Vogel Ham | Registered representative | Dec 2023 (3y) | ||
| Grayden Eric Allen Stone | Registered representative | Dec 2023 (3y) | ||
| Ryan Thomas Anderson | Registered representative | Dec 2023 (3y) | ||
| Kayla Price | Registered representative | Dec 2023 (3y) | ||
| Matthew Lawrence Dellasega | Registered representative | Dec 2023 (3y) | ||
| Jason Alan Cummings | Registered representative | Dec 2023 (3y) | ||
| Greydon Keith Turner | Registered representative | Jan 2024 (3y) | ||
| Jeani Patrice Fink | Registered representative | Jan 2024 (3y) | ||
| Christopher Raymond Ianni | Registered representative | Jan 2024 (3y) | ||
| David Courlang | Registered representative | Jan 2024 (3y) | ||
| Brianne Renee Faulkner | Registered representative | CFP | Jan 2024 (3y) | |
| Kapil Joshi | Registered representative | Jan 2024 (3y) | ||
| Gregery Dean Odell | Registered representative | Chartered Financial Consultant | Jan 2024 (3y) | |
| Alexander Daniel Litwora | Registered representative | Jan 2024 (3y) | ||
| Justin Romero | Registered representative | Jan 2024 (3y) | ||
| Brandon Terry Van Winkle | Registered representative | Jan 2024 (3y) | ||
| George Julius Follstad | Registered representative | Jan 2024 (3y) | ||
| John Alexander Cislo | Registered representative | Jan 2024 (3y) | ||
| Laura Betty Hoffman | Registered representative | Jan 2024 (3y) | ||
| Rajesh H Patel | Registered representative | Jan 2024 (3y) | ||
| Brendan Connor Johnson | Registered representative | Jan 2024 (3y) | ||
| Jeffery Dewayne Ruffin | Registered representative | Jan 2024 (3y) | ||
| Jane J Choi | Registered representative | Jan 2024 (3y) | ||
| Tonya Lynn Mathison | Registered representative | Jan 2024 (3y) | ||
| Jared John Gonnering | Registered representative | Jan 2024 (3y) | ||
| Kevin L Ullery | Registered representative | Jan 2024 (3y) | ||
| Adam Myles Hawkins | Registered representative | Feb 2024 (3y) | ||
| Kristie Lynn Jackson | Registered representative | CFP | Feb 2024 (3y) | |
| Liam Charles O'donnell | Registered representative | Feb 2024 (2y) | ||
| David Robert Izat | Registered representative | Chartered Financial Consultant | Feb 2024 (2y) | |
| Brooke E Sandstoe | Registered representative | Feb 2024 (2y) | ||
| Monica Yuen Fun Yeung | Registered representative | Feb 2024 (2y) | ||
| Jung Hoon Park | Registered representative | Feb 2024 (2y) | ||
| Matthew Jay Peterson | Registered representative | Feb 2024 (2y) | ||
| Jacob Stroh | Registered representative | Mar 2024 (2y) | ||
| Vincent J Frustaglio | Registered representative | CFP Chartered Financial Consultant | Mar 2024 (2y) | |
| Melville Waithe | Registered representative | Mar 2024 (2y) | ||
| Quintrell L Mc Creary | Registered representative | Mar 2024 (2y) | ||
| Marlene Dixon | Registered representative | Mar 2024 (2y) | ||
| Carlos Antonio Rodriguez | Registered representative | Mar 2024 (2y) | ||
| Matthew Thomas Uno | Registered representative | Apr 2024 (2y) | ||
| Rawia A Maamoun | Registered representative | CFP | Apr 2024 (2y) | |
| Sylvia Yoonhee Ahn | Registered representative | Apr 2024 (2y) | ||
| Daniel Alexander Allen | Registered representative | Apr 2024 (2y) | ||
| Richard James Havenridge | Registered representative | Apr 2024 (2y) | ||
| Sarah Jann Lawyer Foust | Registered representative | Apr 2024 (2y) | ||
| Adam Jehad Salman | Registered representative | Apr 2024 (2y) | ||
| Jorge Auturo Benavente | Registered representative | Apr 2024 (2y) | ||
| Mark Christopher Wheelock | Registered representative | Apr 2024 (2y) | ||
| Dennis Franklin Henks | Registered representative | CFP | May 2024 (2y) | |
| Matthew Lawrence Slovick | Registered representative | May 2024 (2y) | ||
| Heath Ray Boeke | Registered representative | May 2024 (2y) | ||
| Kye William Connealy | Registered representative | May 2024 (2y) | ||
| Nicholas Graham Myers | Registered representative | May 2024 (2y) | ||
| Brandon Gary Meza | Registered representative | May 2024 (2y) | ||
| Robert Michael Eberhardt | Registered representative | CFP | May 2024 (2y) | |
| Tracey Lynne Knos | Registered representative | May 2024 (2y) | ||
| Richard Bazyl Gruszewski | Registered representative | May 2024 (2y) | ||
| Melissa Ann Jones | Registered representative | May 2024 (2y) | ||
| Charles Carlos Estes | Registered representative | May 2024 (2y) | ||
| Diane Marie White | Registered representative | May 2024 (2y) | ||
| Michael John Grembi | Registered representative | May 2024 (2y) | ||
| Brady David Leach | Registered representative | Jun 2024 (2y) | ||
| Cole Leonard Collison | Registered representative | Jun 2024 (2y) | ||
| Kayla B Fortanel | Registered representative | Jun 2024 (2y) | ||
| Shemlah Shamiyn Naphish | Registered representative | Jun 2024 (2y) | ||
| Ashley Catherine Wallace | Registered representative | Jun 2024 (2y) | ||
| Owen G Paulk | Registered representative | Jun 2024 (2y) | ||
| Francis Joseph D'alia | Registered representative | Jun 2024 (2y) | ||
| Robert Charles Grow | Registered representative | Jun 2024 (2y) | ||
| Tami Lee Mendell | Registered representative | Jun 2024 (2y) | ||
| Mia Alexandra Garcia | Registered representative | Jun 2024 (2y) | ||
| Jordan Janis | Registered representative | Jun 2024 (2y) | ||
| Grant William Gardner | Registered representative | Jun 2024 (2y) | ||
| Erik William Gorenflo | Registered representative | Jun 2024 (2y) | ||
| Julie Marie Babcock | Registered representative | Jun 2024 (2y) | ||
| Tye Joseph Dutcher | Registered representative | Jun 2024 (2y) | ||
| Christian Michael Prim | Registered representative | Jul 2024 (2y) | ||
| Jack Frantz | Registered representative | Jul 2024 (2y) | ||
| Elijah John Huyser | Registered representative | Jul 2024 (2y) | ||
| Melissa Jane Sivertsen | Registered representative | Jul 2024 (2y) | ||
| Sarah Louise Krapec | Registered representative | Jul 2024 (2y) | ||
| Cutter Brice Amos | Registered representative | Jul 2024 (2y) | ||
| Devon T Philip | Registered representative | Jul 2024 (2y) | ||
| Heather M Verrill | Registered representative | Jul 2024 (2y) | ||
| Kimberly Vickers Johnson | Registered representative | Jul 2024 (2y) | ||
| Sharon B Stevens | Registered representative | Jul 2024 (2y) | ||
| Kelly Lyn Hoezee | Registered representative | Jul 2024 (2y) | ||
| Kevin Martin | Registered representative | Jul 2024 (2y) | ||
| Ryan T Tran | Registered representative | Jul 2024 (2y) | ||
| Tiffany Holman | Registered representative | Jul 2024 (2y) | ||
| Jillian Torluccio | Registered representative | Aug 2024 (2y) | ||
| Trevor James Rottinghaus | Registered representative | Aug 2024 (2y) | ||
| Heath V Greene | Registered representative | Aug 2024 (2y) | ||
| William Curtis Van Buren | Registered representative | Aug 2024 (2y) | ||
| Adam Joseph Powhida | Registered representative | Aug 2024 (2y) | ||
| Christopher Reed Tripp | Registered representative | Aug 2024 (2y) | ||
| Susan Lee Bell | Registered representative | Aug 2024 (2y) | ||
| Christabelle Joy Cook | Registered representative | Aug 2024 (2y) | ||
| Sara Mills Gaines | Registered representative | Aug 2024 (2y) | ||
| Michael William Hadley | Registered representative | Aug 2024 (2y) | ||
| Anthony Joseph Medici | Registered representative | Aug 2024 (2y) | ||
| Ethan Phillip Lange | Registered representative | Aug 2024 (2y) | ||
| Ruben Rivera | Registered representative | Aug 2024 (2y) | ||
| Benjamin John Tuescher | Registered representative | Aug 2024 (2y) | ||
| Brett Eugene Nesdahl | Registered representative | Sep 2024 (2y) | ||
| Adrian James Turner | Registered representative | Sep 2024 (2y) | ||
| Cynthia Sue Ortlieb | Registered representative | Sep 2024 (2y) | ||
| Carlos F Suarez | Registered representative | Sep 2024 (2y) | ||
| Charles Edward Gallagher | Registered representative | Sep 2024 (2y) | ||
| Anny Kadomatsu | Registered representative | Sep 2024 (2y) | ||
| Tucker Lynn Gross | Registered representative | Sep 2024 (2y) | ||
| Nathan Paul Woosley | Registered representative | Sep 2024 (2y) | ||
| Joanna Scates Beachly | Registered representative | Sep 2024 (2y) | ||
| Clarissa Marie Rasmussen | Registered representative | Sep 2024 (2y) | ||
| Bradley Jay Cure | Registered representative | Sep 2024 (2y) | ||
| Thomas Christopher Self | Registered representative | Sep 2024 (2y) | ||
| Tyler Daniel Carpiaux | Registered representative | Sep 2024 (2y) | ||
| Clinton Lee Oliphant | Registered representative | Sep 2024 (2y) | ||
| Clovis Aaron Russell | Registered representative | Sep 2024 (2y) | ||
| Alex Joseph Krumbholz | Registered representative | Oct 2024 (2y) | ||
| John Russell Kuhlmann | Registered representative | Oct 2024 (2y) | ||
| Tasha Ladonna Webie | Registered representative | CFP | Oct 2024 (2y) | |
| Andrew Reagan Shea | Registered representative | Oct 2024 (2y) | ||
| Michael Glenn Martin | Registered representative | Oct 2024 (2y) | ||
| Bethany Clayton Beckner | Registered representative | Oct 2024 (2y) | ||
| Conor J Boffeli | Registered representative | CFP Chartered Financial Consultant | Oct 2024 (2y) | |
| Robert Chris Benshadle | Registered representative | Oct 2024 (2y) | ||
| Jennifer Kathryn Varga | Registered representative | Oct 2024 (2y) | ||
| Kenneth John Verzella | Registered representative | Oct 2024 (2y) | ||
| Jonathan Andrew Dimarco | Registered representative | Oct 2024 (2y) | ||
| Barrett Davidson Sellon | Registered representative | Nov 2024 (2y) | ||
| David Michael Gelia | Registered representative | Nov 2024 (2y) | ||
| Ashish Victor Patel | Registered representative | Nov 2024 (2y) | ||
| Felipe Franco Garcia | Registered representative | Chartered Financial Consultant | Nov 2024 (2y) | |
| Jolene Marie Rizk | Registered representative | Nov 2024 (2y) | ||
| Miguel Angel Zulueta | Registered representative | Nov 2024 (2y) | ||
| Rosalyn Kristina Brown | Registered representative | CFP | Nov 2024 (2y) | |
| Elizabeth Anne Ley | Registered representative | Nov 2024 (2y) | ||
| Jason Miller | Registered representative | Dec 2024 (2y) | ||
| Wade Allen Jones | Registered representative | Dec 2024 (2y) | ||
| Timothy Evan Hazelton | Registered representative | CFP | Dec 2024 (2y) | |
| Benjamin James Warner | Registered representative | Dec 2024 (2y) | ||
| Robert Lawrence Leavitt | Registered representative | Dec 2024 (2y) | ||
| Mason Scott Yegge | Registered representative | Dec 2024 (2y) | ||
| Erik Thomas Hoeflinger | Registered representative | Dec 2024 (2y) | ||
| Troy Malon Axelson | Registered representative | CFP | Dec 2024 (2y) | |
| Vanessa Elise Altom | Registered representative | Dec 2024 (2y) | ||
| Brooke Lynn Cole | Registered representative | Jan 2025 (2y) | ||
| Saranya Subramanian | Registered representative | Jan 2025 (2y) | ||
| Samuel Roger File | Registered representative | Jan 2025 (2y) | ||
| Donald Gregory Sketchley | Registered representative | Jan 2025 (2y) | ||
| Jennifer Rebekka Moston | Registered representative | Jan 2025 (2y) | ||
| Austin Joseph Smith | Registered representative | Jan 2025 (2y) | ||
| Nathan L Lane | Registered representative | Jan 2025 (2y) | ||
| Suhyoung An | Registered representative | Jan 2025 (2y) | ||
| Jason Andrew Woodbury | Registered representative | Jan 2025 (2y) | ||
| Allan Brett Zucker | Registered representative | Jan 2025 (2y) | ||
| Bert William Verduzco | Registered representative | Jan 2025 (2y) | ||
| Rubab Muzaffar | Registered representative | Jan 2025 (2y) | ||
| Breyden Curtis Dieren | Registered representative | Feb 2025 (1y) | ||
| Jaime Castaneda | Registered representative | Feb 2025 (1y) | ||
| Kyle Treadwell | Registered representative | Feb 2025 (1y) | ||
| Candice Nichole Skinner | Registered representative | Feb 2025 (1y) | ||
| James Paul Walton | Registered representative | Feb 2025 (1y) | ||
| Jennifer Sue Torgrude | Registered representative | Feb 2025 (1y) | ||
| Manuel Carril | Registered representative | Feb 2025 (1y) | ||
| Alexandra Marie Lenihan | Registered representative | Feb 2025 (1y) | ||
| Kevin J Wright | Registered representative | Feb 2025 (1y) | ||
| Angad Mahal | Registered representative | Feb 2025 (1y) | ||
| Liam Andrew Downs | Registered representative | Feb 2025 (1y) | ||
| Caden Michael Svoboda | Registered representative | Feb 2025 (1y) | ||
| Lucas Richard Hatridge | Registered representative | Feb 2025 (1y) | ||
| Brandon Thomas Kramer | Registered representative | Feb 2025 (1y) | ||
| Monica A Hower | Registered representative | Feb 2025 (1y) | ||
| Spencer W Gardner | Registered representative | Feb 2025 (1y) | ||
| Zachary Oldham | Registered representative | Feb 2025 (1y) | ||
| Robert Roderick Rodriguez | Registered representative | Feb 2025 (1y) | ||
| Jason Randall Musante Klumb | Registered representative | Feb 2025 (1y) | ||
| Jodi Michelle Detwiler | Registered representative | Feb 2025 (1y) | ||
| Jacob Lee Vold | Registered representative | Feb 2025 (1y) | ||
| Traeton Lee Wheeler | Registered representative | Feb 2025 (1y) | ||
| Cassandra Marie Cervantes | Registered representative | Feb 2025 (1y) | ||
| Cesar Alonzo Romero | Registered representative | CFP | Feb 2025 (1y) | |
| Jordan Steven Keith Dalton | Registered representative | Mar 2025 (1y) | ||
| Meghan Colleen Jones | Registered representative | Mar 2025 (1y) | ||
| Shannon L Richardson | Registered representative | Mar 2025 (1y) | ||
| Mark B Mc Roy | Registered representative | Mar 2025 (1y) | ||
| Laura Jane Hertges | Registered representative | Mar 2025 (1y) | ||
| David A Trapper | Registered representative | Mar 2025 (1y) | ||
| Devon Blair | Registered representative | Mar 2025 (1y) | ||
| Jason Paul Obermeier | Registered representative | Mar 2025 (1y) | ||
| Gunturi Durga Pradeep | Registered representative | Mar 2025 (1y) | ||
| Paul Michael Kato | Registered representative | Mar 2025 (1y) | ||
| Eric M Dietzenbach | Registered representative | Mar 2025 (1y) | ||
| Mary Goldschmidt Wheeler | Registered representative | Mar 2025 (1y) | ||
| Caden Richard Auker | Registered representative | Mar 2025 (1y) | ||
| Ashley Lauren Peterson | Registered representative | Mar 2025 (1y) | ||
| Jessica Rene Gruver Koefod | Registered representative | Apr 2025 (1y) | ||
| Shawn Benjamin Mahoney | Registered representative | Apr 2025 (1y) | ||
| Elizabeth Anne Rude | Registered representative | Apr 2025 (1y) | ||
| Robert Francis Crane | Registered representative | Apr 2025 (1y) | ||
| Eric B Haugdahl | Registered representative | CFP | Apr 2025 (1y) | |
| Jonathan G Holland | Registered representative | Apr 2025 (1y) | ||
| James Edward Schwalbe | Registered representative | Apr 2025 (1y) | ||
| Jeffrey Alan Hartle | Registered representative | Apr 2025 (1y) | ||
| Jayne P Ly | Registered representative | Apr 2025 (1y) | ||
| Jeremy Cole Roche | Registered representative | Apr 2025 (1y) | ||
| John Kim | Registered representative | Apr 2025 (1y) | ||
| Tat Chan | Registered representative | Apr 2025 (1y) | ||
| Linda Kay Gustafson | Registered representative | Apr 2025 (1y) | ||
| Ashton Julia Schwickerath | Registered representative | Apr 2025 (1y) | ||
| Jackson Gehling | Registered representative | Apr 2025 (1y) | ||
| Michele Suzanne Valdez | Registered representative | Apr 2025 (1y) | ||
| Holly Lyn Karasinski | Registered representative | Apr 2025 (1y) | ||
| Carson M Van Beek | Registered representative | May 2025 (1y) | ||
| Michael George Ebert | Registered representative | May 2025 (1y) | ||
| Ryan Thomas Heidel | Registered representative | May 2025 (1y) | ||
| Robert Earl Parks | Registered representative | May 2025 (1y) | ||
| Garrett Daniel Sanders | Registered representative | May 2025 (1y) | ||
| Abdiel Alan Valenzuela | Registered representative | May 2025 (1y) | ||
| Kevin Brody Mc Mahon | Registered representative | May 2025 (1y) | ||
| Logan Nourie | Registered representative | May 2025 (1y) | ||
| Cody Robert Sikorski | Registered representative | CFA | May 2025 (1y) | |
| Dennis Kim | Registered representative | May 2025 (1y) | ||
| Melanie Kristin Allen | Registered representative | May 2025 (1y) | ||
| Alexis Nicole Devorss | Registered representative | May 2025 (1y) | ||
| William M Brown | Registered representative | May 2025 (1y) | ||
| Brian C Lore | Registered representative | May 2025 (1y) | ||
| Manuel Eduardo Gutierrez | Registered representative | May 2025 (1y) | ||
| Michael T Hoover | Registered representative | Jun 2025 (1y) | ||
| Joshua A Hutt | Registered representative | Jun 2025 (1y) | ||
| Joshua Thomas Banwart | Registered representative | CFP Chartered Financial Consultant | Jun 2025 (1y) | |
| Zachariah C Sprinkle | Registered representative | Jun 2025 (1y) | ||
| Connor Robert Hughes | Registered representative | Jun 2025 (1y) | ||
| Malcolm Ruben | Registered representative | Jun 2025 (1y) | ||
| Joanna Patricia Swanson | Registered representative | Jun 2025 (1y) | ||
| Justin Robert Slack | Registered representative | Jun 2025 (1y) | ||
| Quinn Ashburne Crothers | Registered representative | Jun 2025 (1y) | ||
| Ryan Michael Hartsock | Registered representative | Jun 2025 (1y) | ||
| Chelsea Nicole Smitchger | Registered representative | Jun 2025 (1y) | ||
| Braden Michael Dietz | Registered representative | Jun 2025 (1y) | ||
| Scott David Pries | Registered representative | Jun 2025 (1y) | ||
| Timothy Dean Semlick | Registered representative | CFP | Jun 2025 (1y) | |
| Brandon J Danielson | Registered representative | Jun 2025 (1y) | ||
| Stanley A Strecker | Registered representative | Jun 2025 (1y) | ||
| David Ross Bowles | Registered representative | Jul 2025 (1y) | ||
| Jonathan Isamu Yokoyama | Registered representative | Jul 2025 (1y) | ||
| Katelyn Dare Harder | Registered representative | Jul 2025 (1y) | ||
| Zachary Caleb Murdock | Registered representative | Jul 2025 (1y) | ||
| John Brian Franklin | Registered representative | Jul 2025 (1y) | ||
| Brianna M Steffes | Registered representative | Jul 2025 (1y) | ||
| Jacob George Adams | Registered representative | CFP | Jul 2025 (1y) | |
| Scott Andrew Stewart | Registered representative | CFP | Jul 2025 (1y) | |
| Lilia V Prather | Registered representative | Jul 2025 (1y) | ||
| Brett Baxter | Registered representative | Jul 2025 (1y) | ||
| Drake Braden Stephens | Registered representative | Jul 2025 (1y) | ||
| Sergio Mendoza | Registered representative | Jul 2025 (1y) | ||
| Timothy M Vollrath | Registered representative | Jul 2025 (1y) | ||
| Evan Daniel Kress | Registered representative | Jul 2025 (1y) | ||
| Brock Cooper | Registered representative | Aug 2025 (1y) | ||
| Case Alexander Lawhon | Registered representative | Aug 2025 (1y) | ||
| Jacob David Berman | Registered representative | Aug 2025 (1y) | ||
| Jason Jay Tabor | Registered representative | CFP | Aug 2025 (1y) | |
| Westin James Kaser | Registered representative | Aug 2025 (1y) | ||
| Kendall Jean Dungan | Registered representative | Aug 2025 (1y) | ||
| Dushyant Sharma | Registered representative | Aug 2025 (1y) | ||
| Samuel W Jensen | Registered representative | Aug 2025 (1y) | ||
| Chloe M Fox | Registered representative | Aug 2025 (1y) | ||
| Steven Alderete | Registered representative | Aug 2025 (1y) | ||
| Nicholas Alan Fox | Registered representative | Aug 2025 (1y) | ||
| Pamela Sue Kenaston | Registered representative | Aug 2025 (1y) | ||
| Kirk Albin | Registered representative | Aug 2025 (1y) | ||
| Lewis Jackson Grace | Registered representative | Aug 2025 (1y) | ||
| Joseph Jerry Rossman | Registered representative | Aug 2025 (1y) | ||
| Benjamin Ray Ebert | Registered representative | Sep 2025 (1y) | ||
| Jason Charles Reis | Registered representative | Sep 2025 (1y) | ||
| Kyle Lynn Carano | Registered representative | Sep 2025 (1y) | ||
| David Michael Tiutczenko | Registered representative | Sep 2025 (1y) | ||
| Payton Donald Brian Bledsoe | Registered representative | Sep 2025 (1y) | ||
| Timothy Phillips | Registered representative | Sep 2025 (1y) | ||
| Uzochukwu Louis Anughora | Registered representative | Sep 2025 (1y) | ||
| Antonio Culbreath | Registered representative | Sep 2025 (1y) | ||
| Connor Arthur Meislahn | Registered representative | Sep 2025 (1y) | ||
| Jordan Olson | Registered representative | CFP | Sep 2025 (1y) | |
| Stephen Lawrence Fee | Registered representative | Sep 2025 (1y) | ||
| Matthew Joseph Herbranson | Registered representative | Sep 2025 (1y) | ||
| Seth Daniel Haag | Registered representative | Sep 2025 (1y) | ||
| William Cameron Mccants | Registered representative | Sep 2025 (1y) | ||
| Nathan Randall Muersch | Registered representative | Sep 2025 (1y) | ||
| Randi N Slaughter | Registered representative | Sep 2025 (1y) | ||
| Lorelei Michele Deruiter | Registered representative | Oct 2025 (1y) | ||
| Jill Jeannine Morehead | Registered representative | Oct 2025 (1y) | ||
| Joseph C Hayes | Registered representative | Oct 2025 (1y) | ||
| Katherine Laine Porter | Registered representative | Oct 2025 (1y) | ||
| Joseph S Sicchitano | Registered representative | CFP | Oct 2025 (1y) | |
| John S Malhotra | Registered representative | Oct 2025 (1y) | ||
| Craig Alan Dekshenieks | Registered representative | Oct 2025 (1y) | ||
| Zachary Taylor Brock | Registered representative | Nov 2025 (1y) | ||
| Emily C Slater | Registered representative | Nov 2025 (1y) | ||
| Ashley A Thompson | Registered representative | Nov 2025 (1y) | ||
| Charles Richard Cline | Registered representative | Nov 2025 (1y) | ||
| Joseph Ordonez | Registered representative | Nov 2025 (1y) | ||
| Kevin Lee Wilkinson | Registered representative | Nov 2025 (1y) | ||
| Damian Anthony Lopez | Registered representative | Nov 2025 (1y) | ||
| Paul James Testa | Registered representative | Nov 2025 (1y) | ||
| Zackery Guerrero | Registered representative | Nov 2025 (1y) | ||
| Cassidy Layne Bearinger | Registered representative | Nov 2025 (1y) | ||
| Brittnay Cotton | Registered representative | Nov 2025 (1y) | ||
| Matthew A Kling | Registered representative | Nov 2025 (1y) | ||
| Isabel Sarah Adcock | Registered representative | Nov 2025 (1y) | ||
| Michael Harrison Stepanski | Registered representative | Nov 2025 (1y) | ||
| David Alan Henry | Registered representative | Dec 2025 (1y) | ||
| Gary James Nomura Febus | Registered representative | Dec 2025 (1y) | ||
| David Glenz | Registered representative | Dec 2025 (1y) | ||
| Steven Louis Urli | Registered representative | Dec 2025 (1y) | ||
| Sudeep Mitra | Registered representative | Dec 2025 (1y) | ||
| Aaron Gabriel Anderson | Registered representative | Dec 2025 (1y) | ||
| Joseph Gerald Bataille | Registered representative | Dec 2025 (1y) | ||
| Jason Boyd | Registered representative | Dec 2025 (1y) | ||
| Hatem Raafat Mohamed Aly Elshimy | Registered representative | Dec 2025 (1y) | ||
| Alyssa Piersimoni | Registered representative | Dec 2025 (1y) | ||
| Jake Michael Boust | Registered representative | Dec 2025 (1y) | ||
| Kyle Hoffsmith | Registered representative | Dec 2025 (1y) | ||
| Monique Pearl | Registered representative | Dec 2025 (1y) | ||
| Stephen Hynes Muldrow | Registered representative | Dec 2025 (1y) | ||
| Alexander G Naula | Registered representative | Jan 2026 (1y) | ||
| Gabriel Arreguin | Registered representative | Jan 2026 (1y) | ||
| Gonzalo Borquez | Registered representative | Jan 2026 (1y) | ||
| Peyton Spencer Lott | Registered representative | Jan 2026 (1y) | ||
| Daniel Paul Stephany | Registered representative | Jan 2026 (1y) | ||
| Radhika Yashwant Rahalkar | Registered representative | Jan 2026 (1y) | ||
| Arnav Tyagi | Registered representative | Jan 2026 (1y) | ||
| Kevin C Kenney | Registered representative | Jan 2026 (1y) | ||
| Austin Schattenberg | Registered representative | Jan 2026 (1y) | ||
| Matthew William Collins | Registered representative | Jan 2026 (1y) | ||
| Arvind Mehta | Registered representative | Jan 2026 (1y) | ||
| Jeffrey King | Registered representative | Jan 2026 (1y) | ||
| Natalie Kate Johnston | Registered representative | Jan 2026 (1y) | ||
| Thomas Robert O Hara | Registered representative | Jan 2026 (1y) | ||
| Erin Sue Lane | Registered representative | Jan 2026 (1y) | ||
| Nicholas James Thomas | Registered representative | Jan 2026 (1y) | ||
| Jonathan Daniel Wakin | Registered representative | Jan 2026 (1y) | ||
| Chinthalapalli Uma | Registered representative | Jan 2026 (1y) | ||
| Sierra Elena Winder | Registered representative | Jan 2026 (1y) | ||
| Brea Nicole Baxter | Registered representative | Feb 2026 (0y) | ||
| Calvin V Weaver | Registered representative | Feb 2026 (0y) | ||
| Patrick John Mc Anulty | Registered representative | Feb 2026 (0y) | ||
| Skyler Dyle Anderson | Registered representative | Feb 2026 (0y) | ||
| Ryan Myles Everett | Registered representative | Feb 2026 (0y) | ||
| Tyler A Jones | Registered representative | Feb 2026 (0y) | ||
| William Kevin Hoffer | Registered representative | Feb 2026 (0y) | ||
| Evan Bradley Lemker | Registered representative | Feb 2026 (0y) | ||
| John Hwang | Registered representative | Feb 2026 (0y) | ||
| David Eric Engel | Registered representative | Feb 2026 (0y) | ||
| Bryce Martin Wallace | Registered representative | Feb 2026 (0y) | ||
| Vanessa Lee Higgins | Registered representative | Feb 2026 (0y) | ||
| Alphonso Alexander Brown | Registered representative | Feb 2026 (0y) | ||
| Drew Michael Hildebrand | Registered representative | Feb 2026 (0y) | ||
| Jeremy J Grund | Registered representative | Feb 2026 (0y) | ||
| Thomas Nelson Musselman | Registered representative | Feb 2026 (0y) | ||
| William Hunter Boardman | Registered representative | CFP | Mar 2026 (0y) | |
| Clancy Cramer | Registered representative | CFP | Mar 2026 (0y) | |
| Brian Howden | Registered representative | Mar 2026 (0y) | ||
| Kevin Suen | Registered representative | Mar 2026 (0y) | ||
| Jeremy Richard Mc Intosh | Registered representative | Mar 2026 (0y) | ||
| Michael Brian Fong | Registered representative | Mar 2026 (0y) | ||
| Mira Dragisic | Registered representative | Mar 2026 (0y) | ||
| Nora Lentz Mickelson | Registered representative | Mar 2026 (0y) | ||
| Alexandria Zendell Pon | Registered representative | Mar 2026 (0y) | ||
| Austin J Nichols | Registered representative | Mar 2026 (0y) | ||
| Drew David Howard | Registered representative | Mar 2026 (0y) | ||
| Gabriel Thomas Rockers | Registered representative | Apr 2026 (0y) | ||
| Thomas Stephen Bolanowski | Registered representative | Apr 2026 (0y) | ||
| Heidi Breitkreutz | Registered representative | Apr 2026 (0y) | ||
| Sirisha S Davuluri | Registered representative | Apr 2026 (0y) | ||
| Tabitha H Marks | Registered representative | Apr 2026 (0y) | ||
| Michael Andrew Langley | Registered representative | Apr 2026 (0y) | ||
| Crysta Larae Berry | Registered representative | Apr 2026 (0y) | ||
| Alexander John Zuniga | Registered representative | Apr 2026 (0y) | ||
| David Hoover | Registered representative | Apr 2026 (0y) | ||
| Austin M Siefers | Registered representative | Apr 2026 (0y) | ||
| Robert K Wilson | Registered representative | Apr 2026 (0y) | ||
| Ari Matthew Litvin | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Austin James Niven | Registered representative | Apr 2026 (0y) | ||
| Glen Gaston | Registered representative | Apr 2026 (0y) | ||
| Jessica L Benningsdorf | Registered representative | Apr 2026 (0y) | ||
| Shane Allan Wiehl | Registered representative | Apr 2026 (0y) | ||
| Abel Molina | Registered representative | Apr 2026 (0y) | ||
| Daniel C Cubbison | Registered representative | Apr 2026 (0y) | ||
| Julio Guemes | Registered representative | Apr 2026 (0y) | ||
| Marta Elizabeth Bartolacci | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| Peter Leroy Way | Registered representative | Apr 2026 (0y) | ||
| Alexander Houston | Registered representative | Apr 2026 (0y) | ||
| Hezekiah L Ross | Registered representative | Apr 2026 (0y) | ||
| Brandon Tyler Mc Grew | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| David Schoep | Registered representative | Apr 2026 (0y) | ||
| Gregory James Fuller | Registered representative | Apr 2026 (0y) | ||
| Roy Douglas Butler | Registered representative | May 2026 (0y) | ||
| Hannah Claire Manzo | Registered representative | May 2026 (0y) | ||
| Dylan James Ovanin | Registered representative | May 2026 (0y) | ||
| John Paul Matenko | Registered representative | May 2026 (0y) | ||
| Clayton Stuart | Registered representative | May 2026 (0y) | ||
| Eric D Hudson | Registered representative | May 2026 (0y) | ||
| Max J Rabin | Registered representative | May 2026 (0y) | ||
| Matthew Samuel Powers | Registered representative | May 2026 (0y) | ||
| Timothy David Bonisteel | Registered representative | May 2026 (0y) | ||
| Anita Ladd Canales | Registered representative | May 2026 (0y) | ||
| David Lavelle Dickens | Registered representative | CFP | Jun 2026 (0y) | |
| Luke Lang | Registered representative | Jun 2026 (0y) | ||
| Casey Benjamin Head | Registered representative | Jun 2026 (0y) | ||
| Kyle Nicholson | Registered representative | Jun 2026 (0y) | ||
| Bronson Booth | Registered representative | Jun 2026 (0y) | ||
| Amber L Schwaab | Registered representative | Jun 2026 (0y) | ||
| Katie Scalia | Registered representative | Jun 2026 (0y) | ||
| Liam Daniel Carr | Registered representative | Jun 2026 (0y) | ||
| Matthew Wesley Thomas | Registered representative | Jun 2026 (0y) | ||
| Alejandro Bruno | Registered representative | Jun 2026 (0y) | ||
| Robert Joseph Pactwa | Registered representative | Jun 2026 (0y) | ||
| Scott Jeffrey Breitkreutz | Registered representative | Jun 2026 (0y) | ||
| Sean Mychail Fox | Registered representative | Jun 2026 (0y) | ||
| Christopher Allen Sizemore | Registered representative | Jun 2026 (0y) | ||
| Jody R Brown | Registered representative | Jun 2026 (0y) | ||
| Jonathan Taylor Helak | Registered representative | Jun 2026 (0y) | ||
| Melissa Elaine Gordon | Registered representative | Chartered Financial Consultant | Jun 2026 (0y) | |
| Stephen Walter Sawyer | Registered representative | Jun 2026 (0y) | ||
| Brendan Donaghey | Registered representative | Jul 2026 (0y) | ||
| Joshua Ehiosuomwan Harper | Registered representative | Jul 2026 (0y) | ||
| David Andrew Wynstra | Registered representative | Jul 2026 (0y) | ||
| Christopher Leigh Pedde | Registered representative | Jul 2026 (0y) | ||
| Chance Andon Naugle | Registered representative | Jul 2026 (0y) | ||
| Colton Davies | Registered representative | Jul 2026 (0y) | ||
| Felipe Rivas | Registered representative | Jul 2026 (0y) | ||
| Kevin Patrick Wooleyhan | Registered representative | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Principal Financial Services, Inc. | Owner | Oct 2001 | A | 75% or more |
| Principal Financial Group Inc. | Owner | Oct 2001 | B | 75% or more of Principal Financial Services Inc. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (57)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Fbg Service 401(k) Retirement Plan | Fbg Service Corporation | 585 | $9.6M | 10/01/2024 |
| Thrift Plan For Employees Of Progress Industries | Progress Industries | 199 | $10.0M | 07/01/2024 |
| Enterprise Properties, Inc. 401(k) Savings Plan | Enterprise Properties, Inc. | 420 | $17.4M | 03/01/2024 |
| Us Retail, Inc. 401(k) Plan | Coach Road Capital, Llc | 339 | $1.4M | 01/01/2024 |
| Central States Industrial Supply, Inc. Savings Plan | Central States Industrial Supply, Inc. | 113 | $19.6M | 01/01/2024 |
| Itc Incorporated Retirement Savings Plan | Itc Incorporated | 115 | $9.1M | 01/01/2024 |
| Million Dollar Round Table Retirement Plan | Million Dollar Round Table | 120 | $19.9M | 01/01/2024 |
| Valley Children's Specialty Medical Group 401(k) Profit Sharing Plan | Valley Children's Specialty Medical Group | 299 | $118M | 01/01/2024 |
| National Council For Behavioral Health Pension Plan | National Council For Behavioral Health | 283 | $32.7M | 01/01/2024 |
| Commercial Tool & Die, Inc. Employee 401(k)/Profit Sharing Plan | Commercial Tool & Die, Inc. | 295 | $25.2M | 01/01/2024 |
| Million Dollar Round Table 401(k) Thrift Plan | Million Dollar Round Table | 139 | $22.2M | 01/01/2024 |
| Causley Trucking, Inc. Retirement Plan | Causley Trucking, Inc. | 160 | $6.3M | 01/01/2024 |
| Handex Consulting & Remediation, Llc 401(k) Plan | Handex Consulting & Remediation, Llc | 0 | $0 | 01/01/2024 |
| Kinney Manufacturing 401(k) Plan | Kinney Manufacturing, Llc | 175 | $3.9M | 01/01/2024 |
| Mccown Gordon Construction, L.L.C. Profit Sharing 401(k) Plan | Mccown Gordon Construction, L.L.C. | 492 | $56.5M | 01/01/2024 |
| Bath Community Hospital Employees 403(b) Retirement Plan | Bath County Community Hospital, Inc. | 232 | $14.4M | 01/01/2024 |
| Fremont Beef Company Retirement Savings Plan | Fremont Beef Company | 271 | $6.5M | 01/01/2024 |
| Potato King, Inc. 401(k) Plan | The Potato King, Inc. | 141 | $12.3M | 01/01/2024 |
| Ida Grove Bancshares, Inc. Esop With 401(k) Provisions And Trust Agreement | United Bank Of Iowa | 290 | $67.2M | 01/01/2024 |
| Landus 401(k) Plan | Landus Cooperative | 647 | $80.4M | 01/01/2024 |
| Memorial Health Care Systems Tax Deferred Annuity Plan | Memorial Health Care Systems | 281 | $36.5M | 01/01/2024 |
| Industries For The Blind And Visually Impaired, Inc. Retirement Savings Plan | Industries For The Blind And Visually Impaired, Inc. | 236 | $7.8M | 01/01/2024 |
| Concentric Rockford Inc. Employees' Pension Plan | Concentric Rockford Inc. | 44 | $30.0M | 01/01/2024 |
| Roman Manufacturing, Inc. Employees' Investment Plan | Roman Manufacturing, Inc. | 214 | $20.6M | 01/01/2024 |
| Meritage Hospitality Group 401(k) | Meritage Hospitality Group | 10,966 | $7.0M | 01/01/2024 |
Top 25 of 57 plans by assets.
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 2.97 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Civil judicial
as of Dec 13, 2024
Allegations: LAWSUIT ALLEGES MISAPPROPRIATION OF KEY BANK TRADE SECRETS, TORTIOUS INTERFERENCE WITH AGREEMENTS, CONVERSION, UNFAIR COMPETITION, DECEPTIVE TRADE PRACTICES, UNJUST ENRICHMENT. Status: Final Summary: KEY BANK, NA AND KEY INVESTMENT SERVICES, LLC FILED A LAWSUIT ON APRIL 21, 2014 IN ALBANY COUNTY, NEW YORK, CASE # 2205-14, AFTER THREE INDIVIDUALS WHO HAD BEEN ASSOCIATED WITH KEY BANK TERMINATED THEIR RELATIONSHIP WITH KEY BANK AND BECAME ASSOCIATED WITH PRINCOR FINANCIAL SERVICES CORPORATION. THE THREE INDIVIDUALS ARE SCOTT POWHIDA, LAWRENCE D. DILLON AND VICTORIA AMYOT. THE LAWSUIT AND A RELATED FINRA ARBITRATION ACTION (CASE NO. 14-017682) WERE FILED AGAINST PRINCOR, TWO OF PRINCOR'S AFFILIATES, AND THE THREE ASSOCIATED PERSONS. THE LAWSUIT ALLEGED MISAPPROPRIATION OF KEY BANK TRADE SECRETS, TORTIOUS INTERFERENCE WITH AGREEMENTS, CONVERSION, UNFAIR COMPETITION, DECEPTIVE TRADE PRACTICES, UNJUST ENRICHMENT. EFFECTIVE OCTOBER 1, 2014, THE PARTIES ENTERED INTO A SETTLEMENT PURSUANT TO WHICH THE TEMPORARY RESTRAINING ORDER WAS VACATED, AND THE DEFENDANTS AGREED TO CERTAIN LIMITATIONS: (I) ON USE OF TRADE SECRETS AND CONFIDENTIAL INFORMATION OF KEY BANK, AND (II) REGARDING SOLICITATION OF EXISTING CUSTOMERS AND EMPLOYEES OF KEY BANK. THIS LAWSUIT AND THE RELATED FINRA ARBITRATION ACTION (CASE NO. 14-017682) WERE BOTH COVERED BY THIS SETTLEMENT IN THE AMOUNT OF $105,000. A STIPULATION AND ORDER OF DISCONTINUANCE OF THE LAWSUIT WAS SIGNED BY THE JUDGE ON OCTOBER 16, 2014
Regulatory · Item 11.E(2)
as of Dec 13, 2024
Allegations: FINRA ALLEGED PRINCIPAL SECURITIES FAILED TO IDENTIFY AND APPLY AVAILABLE MUTUAL FUND SALES CHARGE WAIVERS TO CERTAIN ELIGIBLE RETIREMENT AND CHARITABLE ORGANIZATION ACCOUNTS AND FAILED TO REASONABLY SUPERVISE THE APPLICATION OF THESE SALES CHARGE WAIVERS. FINRA ALLEGED THAT THIS VIOLATED NASD CONDUCT RULE 3010 AND FINRA RULES 3110 AND 2010. WITHOUT ADMITTING OR DENYING THE FINDINGS, PRINCIPAL SECURITIES ACCEPTED AND CONSENTED TO CENSURE AND RESTITUTION TO THE ELIGIBLE CUSTOMERS WHO QUALIFIED FOR, BUT DID NOT RECEIVE, THE APPLICABLE SALES CHARGE WAIVERS SINCE JULY 1, 2009. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND REQUIRED TO PROVIDE FINRA WITH A REMEDIATION PLAN TO REMEDIATE ELIGIBLE CUSTOMERS WHO QUALIFIED FOR, BUT DID NOT RECEIVE, THE APPLICABLE MUTUAL FUND SALES-CHARGE WAIVER. AS PART OF THIS SETTLEMENT, THE FIRM AGREES TO PAY RESTITUTION TO ELIGIBLE CUSTOMERS, WHICH IS ESTIMATED TO TOTAL $1,035,000 (THE AMOUNT ELIGIBLE CUSTOMERS WERE OVERCHARGED, INCLUSIVE OF INTEREST). Summary: AFTER AN INTERNAL REVIEW, IN DECEMBER 2015 PRINCIPAL SECURITIES SELF-REPORTED THAT CERTAIN ELIGIBLE RETIREMENT AND CHARITABLE ORGANIZATION ACCOUNT CUSTOMERS WITH MUTUAL FUNDS HAD NOT RECEIVED AVAILABLE SALES CHARGE WAIVERS BETWEEN JULY 1, 2009 AND THAT POINT IN TIME. PRINCIPAL SECURITIES BEGAN MAKING REFUNDS TO IMPACTED ELIGIBLE CUSTOMERS AFTER IT SELF-REPORTED. FINRA ALLEGED PRINCIPAL SECURITIES HAD VIOLATED NASD CONDUCT RULE 3010 AND FINRA RULES 3110 AND 2010 BY FAILING TO IDENTIFY AND APPLY ALL AVAILABLE MUTUAL FUND SALES CHARGE WAIVERS TO ELIGIBLE CUSTOMERS AND FAILING TO REASONABLY SUPERVISE THE APPLICATION OF SALES CHARGE WAIVERS. WITHOUT ADMITTING OR DENYING THE FINDINGS, PRINCIPAL SECURITIES ACCEPTED AND CONSENTED TO CENSURE AND RESTITUTION TO THE ELIGIBLE CUSTOMERS WHO QUALIFIED FOR, BUT HAD NOT RECEIVED, THE APPLICABLE SALES CHARGE WAIVERS.
Regulatory
as of Dec 13, 2024
Allegations: SEC ADMIN RELEASE IA 5154, MARCH 11, 2019: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST PRINCIPAL SECURITIES, INC. ("RESPONDENT"). ON THE BASIS OF THIS ORDER AND RESPONDENT'S OFFER, THE COMMISSION FINDS THAT THESE PROCEEDINGS ARISE OUT OF BREACHES OF FIDUCIARY DUTY AND INADEQUATE DISCLOSURES BY THE RESPONDENT IN CONNECTION WITH ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND THE FEES IT RECEIVED. AT TIMES DURING THE RELEVANT PERIOD, RESPONDENT PURCHASED, RECOMMENDED, OR HELD FOR ADVISORY CLIENTS MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. RESPONDENT RECEIVED 12B-1 FEES IN CONNECTION WITH THESE INVESTMENTS. RESPONDENT FAILED TO DISCLOSE IN ITS FORM ADV OR OTHERWISE THE CONFLICTS OF INTEREST RELATED TO (A) ITS RECEIPT OF 12B-1 FEES, AND/OR (B) ITS SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. DURING THE RELEVANT PERIOD, RESPONDENT RECEIVED 12B-1 FEES FOR ADVISING CLIENTS TO INVEST IN OR HOLD SUCH MUTUAL FUND SHARE CLASSES. AS A RESULT OF THE CONDUCT, RESPONDENT WILLFULLY VIOLATED SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. Status: Final Sanction Detail: CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTIONS 206(2) AND 207 OF THE ADVISERS ACT. CENSURED, PAY DISGORGEMENT OF $1,552,412.38 AND PREJUDGMENT INTEREST OF $212,211.88, AND COMPLY WITH THE UNDERTAKINGS ENUMERATED IN THE OFFER OF SETTLEMENT. Summary: PRINCIPAL SECURITIES SELF-REPORTED TO THE SECURITIES AND EXCHANGE COMMISSION (SEC) AS PART OF THE SEC'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE (SCSD) POSSIBLE VIOLATIONS OF THE INVESTMENT ADVISERS ACT OF 1940 (ADVISERS ACT) RELATING TO THE FIRM'S FAILURE TO MAKE NECESSARY DISCLOSURES CONCERNING MUTUAL FUND SHARE CLASS SELECTION. WITHOUT THE FIRM ADMITTING OR DENYING THE FINDINGS, ON MARCH 11, 2019, THE SEC ENTERED AN ORDER AGAINST THE FIRM ALLEGING BREACHES OF FIDUCIARY DUTY AND INADEQUATE DISCLOSURES IN CONNECTION WITH THE FIRM'S MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND FEES IT RECEIVED PURSUANT TO RULE 12B-1 UNDER THE INVESTMENT COMPANY ACT OF 1940. AT TIMES DURING THE PERIOD JANUARY 1, 2014 TO DECEMBER 31, 2018, THE FIRM PURCHASED, RECOMMENDED OR HELD ADVISORY CLIENTS' MUTUAL FUND SHARE CLASSES THAT CHARGED 12B-1 FEES INSTEAD OF LOWER-COST SHARE CLASSES OF THE SAME FUNDS FOR WHICH THE CLIENTS WERE ELIGIBLE. THE FIRM RECEIVED 12B-1 FEES IN CONNECTION WITH THESE INVESTMENTS. THE FIRM FAILED TO DISCLOSE IN ITS FORM ADV OR OTHERWISE THE CONFLICTS OF INTEREST RELATED TO ITS RECEIPT OF 12B-1 FEES AND/OR ITS SELECTION OF MUTUAL FUND SHARE CLASSES THAT PAY SUCH FEES. THE FIRM WAS CENSURED AND ORDERED TO CEASE AND DESIST FROM COMMITTING OR CAUSING ANY VIOLATIONS AND ANY FUTURE VIOLATIONS OF SECTION 206(2) AND 207 OR THE ADVISERS ACT. THE FIRM WAS ALSO REQUIRED TO PAY DISGORGEMENT AND PREJUDGMENT INTEREST TO AFFECTED INVESTORS TOTALING $1,764,624.26, AS WELL AS TO TAKE OTHER REMEDIAL ACTIONS. THE FIRM IS IN THE PROCESS OF ARRANGING FOR AND EXECUTING THE PAYMENTS OF DISGORGEMENT AND INTEREST TO IMPACTED CUSTOMERS.
Regulatory · Item 11.E(2)
as of Dec 13, 2024
Allegations: FINRA ALLEGED PRINCOR'S EMAIL MONITORING PROCESSES WERE INADEQUATE DUE TO A CODING ERROR THAT RESULTED IN A PORTION OF INCOMING EMAIL COMMUNICATIONS NOT BEING TIMELY REVIEWED. FINRA ALLEGED THAT THIS VIOLATED NASD RULE 2010 AND FINRA RULE 2010. WITHOUT ADMITTING OR DENYING THE FINDINGS, PRINCOR ACCEPTED AND CONSENTED TO CENSURE AND A FINE OF $115,000. Status: Final Sanction Detail: PRINCOR WAS CENSURED AND FINED $115,000. THE FINE WAS PAID ON 12/21/2015. Summary: FINRA ALLEGED PRINCOR'S EMAIL MONITORING PROCESSES WERE INADEQUATE DUE TO A CODING ERROR THAT RESULTED IN A PORTION OF INCOMING EMAIL COMMUNICATIONS NOT BEING TIMELY REVIEWED. FINRA ALLEGED THAT THIS VIOLATED NASD RULE 2010 AND FINRA RULE 2010. WITHOUT ADMITTING OR DENYING THE FINDINGS, PRINCOR ACCEPTED AND CONSENTED TO CENSURE AND A FINE OF $115,000.
Regulatory · Item 11.E(2)
as of Dec 13, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT (1) FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A REASONABLE SUPERVISORY SYSTEM RELATED TO THE USE OF CONSOLIDATED REPORTS PROVIDED TO CUSTOMERS BY ITS REGISTERED REPRESENTATIVES, AND (2) FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING TWO REGISTERED REPRESENTATIVES IN ONE OF THE FIRM'S BRANCH OFFICES WHO FAILED TO RETAIN COPIES OF CONSOLIDATED REPORTS IN ACCORDANCE WITH THE FIRM'S WRITTEN SUPERVISORY PROCEDURES. Status: Final Sanction Detail: THE FIRM WAS CENSURED AND FINED $125,000. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT (1) FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE A REASONABLE SUPERVISORY SYSTEM RELATED TO THE USE OF CONSOLIDATED REPORTS PROVIDED TO CUSTOMERS BY ITS REGISTERED REPRESENTATIVES, AND (2) FAILED TO ENFORCE ITS WRITTEN SUPERVISORY PROCEDURES REGARDING TWO REGISTERED REPRESENTATIVES IN ONE OF THE FIRM'S BRANCH OFFICES WHO FAILED TO RETAIN COPIES OF CONSOLIDATED REPORTS IN ACCORDANCE WITH THE FIRM'S WRITTEN SUPERVISORY PROCEDURES.
Regulatory · Item 11.E(2)
as of Dec 13, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT FOR AT LEAST THREE YEARS, ITS SYSTEM FOR SUPERVISING ADDITIONS TO EXISTING VARIABLE ANNUITIES WAS NOT REASONABLY DESIGNED TO ENSURE THAT THEY COMPLIED WITH APPLICABLE SECURITIES LAWS AND RULES, INCLUDING THOSE GOVERNING SUITABILITY. Status: Final Sanction Detail: PRINCIPAL SECURITIES WAS CENSURED AND FINED $250,000. Summary: FINRA FOUND THAT GAPS IN THE FIRM'S SYSTEM FOR SUPERVISING ADDITIONS TO EXISTING VARIABLE ANNUITIES RESULTED IN IMPROPER TRANSACTIONS ESCAPING DETECTION BY THE FIRM, CAUSING HARM TO CONTRACT HOLDERS. AS EXAMPLES FINRA FOUND THE FIRM DID NOT DETECT RECOMMENDED IN-AND-OUT TRADING BETWEEN A CUSTOMER'S VARIABLE ANNUITIES, WHICH RESULTED IN FREQUENT AND UNNECESSARY SURRENDER CHARGES, AND THAT THE FIRM DID NOT DETECT ANOTHER CUSTOMER'S EXCESSIVE CONCENTRATION IN A VARIABLE ANNUITY RESULTING FROM A $300,000 ADDITION TO THAT CONTRACT WHICH MORE THAN DOUBLED THE CUSTOMER'S INITIAL INVESTMENT. (PRINCIPAL SECURITIES HAS REMEDIED THE HARM TO THOSE CUSTOMERS. IN NOVEMBER 2016, FINRA BARRED THE ASSOCIATED PERSON WHO INITIATED THOSE TRANSACTIONS, MATTHEW GEISER, FROM THE BROKERAGE INDUSTRY FOR FAILING TO COOPERATE WITH FINRA'S INVESTIGATION OF THIS MATTER.) WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND THE ENTRY OF THE FINDINGS.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 13, 2024
Allegations: THE SOUTH DAKOTA DIVISION OF SECURITIES BELIEVES PRINCOR FAILED TO HAVE A SUPERVISORY SYSTEM IN PLACE THAT WAS REASONABLY EXPECTED TO PREVENT AND DETECT REGISTERED REPRESENTATIVES' LACK OF REGISTRATION IN A CLIENT'S STATE OF RESIDENCE. Status: Final Sanction Detail: $5000 FINE LEVIED AGAINST PRINCOR. PAYMENT WAS SENT TO THE DIVISION ON 10/31/2014. Summary: A PRINCOR REGISTERED REPRESENTATIVE (ERICA ROBISH), BASED IN SOUTH DAKOTA, MADE A MUTUAL FUND SALE TO A NORTH DAKOTA RESIDENT IN FEBRUARY 2014, DURING THE TIME HER NORTH DAKOTA SECURITIES REGISTRATION HAD LAPSED. MS. ROBISH THOUGHT HER NORTH DAKOTA REGISTRATION WAS STILL ACTIVE, BUT IT HAD EXPIRED THE END OF 2013. THE SALE RESULTED IN A ND SECURITIES DEPARTMENT COMPLAINT RECEIVED BY PRINCOR ON MAY 28, 2014. IN REVIEWING THE CIRCUMSTANCES OF THE COMPLAINT, PRINCOR COMPLIANCE LEARNED THAT MS. ROBISH WAS NOT REGISTERED IN NORTH DAKOTA AT THE TIME OF THE SALE. AS A RESULT, PRINCOR REFUNDED THE INITIAL SALES CHARGE TO THE CLIENT, AS THE CLIENT HAD REQUESTED. MS. ROBISH HAD ALREADY REREGISTERED IN NORTH DAKOTA ON MAY 6, 2014. THAT SETTLEMENT WAS LISTED ON MS. ROBISH'S U4 AND THE ENFORCEMENT DIVISION OF THE SOUTH DAKOTA SECURITIES DIVISION (WHERE SHE RESIDES AND IS ALSO REGISTERED) BEGAN INVESTIGATING. SOUTH DAKOTA ADMINISTRATIVE RULE 20:08:03:08 REQUIRES THAT EACH BROKER-DEALER ESTABLISH AND KEEP CURRENT A SET OF WRITTEN SUPERVISORY PROCEDURES AND A SYSTEM FOR APPLYING SUCH PROCEDURES, WHICH MAY BE REASONABLY EXPECTED TO PREVENT AND DETECT ANY VIOLATIONS OF CHAPTER 47-31B OF THE SOUTH DAKOTA LAW. WHEN THE NEW ACCOUNT WAS REVIEWED BY A PRINCIPAL IN FEBRUARY, THERE WERE TWO REPRESENTATIVES LISTED FOR THE ACCOUNT, ONE OF WHOM WAS REGISTERED IN NORTH DAKOTA. BUT THE PRINCIPAL MISSED THAT MS. ROBISH WAS NOT REGISTERED IN NORTH DAKOTA AT THAT TIME, SO THE ACCOUNT WAS ESTABLISHED. SUBSEQUENTLY, THE AREA THAT PAYS COMMISSIONS PREVENTED PAYMENT OF THE COMMISSION TO MS. ROBISH SINCE SHE WAS NOT REGISTERED IN NORTH DAKOTA AT THE TIME OF THE SALE, BUT THE COMMISSIONS AREA DID NOT NOTIFY PRINCOR COMPLIANCE OR OPERATIONS OF THE STATE REGISTRATION ISSUE. PRINCOR IS REVIEWING AND CONTINUING ITS EFFORTS TO ENHANCE ITS OVERALL SUPERVISORY PROCEDURES AND TRAINING REGARDING STATE REGISTRATION. PRINCOR AGREED TO ENTER INTO A CONSENT ORDER WITH THE SOUTH DAKOTA SECURITIES DIVISION AND PAY A $5,000 FINE RELATING TO SUPERVISION OF STATE REGISTRATION.
Regulatory · Item 11.D(2), 11.D(4)
as of Dec 13, 2024
Allegations: THE SECURITIES ADMINISTRATOR, UNDER ORDER 2021-12 ISSUED ON APRIL 26, 2021, PROVIDED CONTINUED LATITUDE FOR FIRMS RELIEF FROM ON-SITE BRANCH OFFICE INSPECTIONS THROUGH THE REMAINDER OF 2021, REQUIRED ON-SITE INSPECTIONS FOR EACH BRANCH OFFICE BY DECEMBER 31, 2022, AND ORDERED FIRMS TO NOTIFY THE SECURITIES ADMINISTRATOR BY JANUARY 31, 2023 OF CERTAIN DETAILS REGARDING LOCATIONS INSPECTED ON-SITE IN 2022. PRINCIPAL SECURITIES CONTINUED TO OPERATE UNDER FINRA PANDEMIC GUIDANCE DURING THE 2022 CALENDAR YEAR, UNINTENTIONALLY IN VIOLATION OF THE MAINE ORDER AND RULE IMPLICATION. PRINCIPAL SECURITIES REPORTED TO THE SECURITIES ADMINISTRATOR THAT BRANCH INSPECTIONS FOR THE 2022 YEAR WERE COMPLETED VIRTUALLY, AND UPON RECOGNITION OF THE STATE'S ORDER, CONDUCTED ON-SITE INSPECTIONS FOR LOCATIONS IN THE STATE IN THE FIRST QUARTER OF 2023. THE SECURITIES ADMINISTRATOR'S POSITION IS THAT, BY FAILING TO CONDUCT ON-SITE INSPECTIONS, THE FIRM WAS IN VIOLATION OF ORDER 2021-12 AND RULE CH. 504(7)(4)(B). Status: Final Sanction Detail: FINE PAID AND SUBMITTED WITH SIGNED CONSENT ON 8/3/2023. Summary: SETTLEMENT BY CONSENT WITHOUT ADMITTING OR DENYING VIOLATION OF THE UNIFORM SECURITIES ACT, PRINCIPAL SECURITIES AGREED TO PAY A FINE AND THAT IT WILL COMPLY WITH LICENSING AND LEGAL REQUIREMENTS OF BROKER-DEALERS IN THE STATE.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Hourly charges
- • Fixed fees
- • Other fees
- • SEMINAR FEES, SOLICITORS FEES, SUBSCRIPTION CONSULTING FEES
Services
- • Financial planning services
- • Portfolio management for individuals/small businesses
- • Portfolio management for businesses/institutional clients
- • Pension consulting services
- • Selection of other advisers
- • Educational seminars/workshops
Custody
Reported custodians
- National Financial Services (Fidelity) $16.8B (99% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗