Mike A. Priestley

PRINCIPAL SECURITIES

Birmingham, AL 35243

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CRD#: 1009437

Professional summary

Mike Anthony Priestley is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Birmingham, Alabama.

Mike is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Mike has worked at 17 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

***Fixed Insurance; Investment Related; Birmingham, AL; Agent; Fixed Life, Annuity, DI, LTC, Group Benefits; Start Date: 08/03/2020; 160 hrs per month; 160 during trading hours. ***The Priestly Company; Not Investment Related; Birmingham, AL; Owner; C corp for group benefits business, sole owner; Start Date: 08/03/2020; 160 hrs per month; 160 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mike Anthony Priestley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mike Anthony Priestley's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

October 24, 2019 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 3500 Blue Lake Dr Ste 280, Birmingham, AL 35243

RIA

CRD#: 1137

Birmingham, AL

Current

October 22, 2019 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 3500 Blue Lake Dr Ste 280, Birmingham, AL 35243

RIA

CRD#: 1137

Birmingham, AL

Past

December 8, 2017 - October 24, 2019

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Vestavia Hills, AL

Past

December 4, 2017 - October 24, 2019

MML INVESTORS SERVICES, LLC

CRD#: 10409

Vestavia Hills, AL

Past

June 5, 2012 - December 7, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

VESTAVIA HILLS, AL

Past

May 30, 2012 - December 7, 2017

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

VESTAVIA HILLS, AL

Past

March 26, 2012 - May 4, 2012

LAWING FINANCIAL INC

RIA

CRD#: 117178

BIRMINGHAM, AL

Past

January 20, 2012 - June 7, 2012

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

BIRMINGHAM, AL

Past

June 3, 2010 - February 2, 2012

THE O.N. EQUITY SALES COMPANY

CRD#: 2936

VESTAVIA, AL

Past

March 23, 2005 - June 3, 2010

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

BIRMINGHAM, AL

Past

September 2, 2004 - March 28, 2005

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

July 24, 2002 - September 16, 2004

M HOLDINGS SECURITIES, INC.

CRD#: 43285

PORTLAND, OR

Past

March 3, 1998 - August 19, 2002

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

BIRMINGHAM, AL

Past

October 1, 1997 - March 18, 1998

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

March 29, 1996 - October 1, 1997

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

CRD#: 5178

FORT WAYNE, IN

Past

April 11, 1994 - July 29, 1996

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

April 11, 1994 - July 29, 1996

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

December 17, 1993 - April 14, 1994

CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.

CRD#: 24220

GREENWOOD VILLAGE, CO

Past

May 19, 1993 - January 19, 1994

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

May 19, 1993 - January 19, 1994

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

December 2, 1992 - April 21, 1993

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

November 10, 1992 - December 2, 1992

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

October 27, 1992 - December 1, 1992

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

December 4, 1989 - October 1, 1992

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

Past

November 15, 1981 - November 18, 1989

G. R. PHELPS & CO., INC.

CRD#: 173

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRINCIPAL SECURITIES, INC.

BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION

CRD#: 1137 / SEC#: 801-54949, 8-13975

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(10/24/2019)

IAR

Alabama
(10/24/2019)

Florida
(10/23/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/21/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/25/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/23/1981

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL SECURITIES, INC.

BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION

CRD#: 1137 / SEC#: 801-54949, 8-13975

RIA

Registered Investment Advisory firm - SEC (10/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

711 High Street, Des Moines, IA 50392

Mailing Address

Principal Financial Group 711 High Street, Des Moines, IA 50392-2080

Phone number

(888) 774-6267

Established

Iowa since 05/01/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

1,436

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (9/15/2025)

RETIREMENT PLAN CONSULTING (9/15/2025)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (9/15/2025)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (9/15/2025)

Direct owners and executive officers

Name	Position	CRD#
PRINCIPAL FINANCIAL SERVICES, INC.	OWNER
AGRAWAL, VIVEK	DIRECTOR	8050381
CLAIRE, CHAD THOMAS	CHIEF INFORMATION OFFICER	7219218
DROGAN, THOMAS JOHN	CHIEF COMPLIANCE OFFICER	2760482
FRIEDRICH, AMY CHRISTINE	DIRECTOR	7097797
LAWLER, CODY ANTHONY	HEAD OF SUPERVISION, HEAD OF OPERATIONS	5162072
MCCULLUM, KENNETH ALLEN	DIRECTOR	4695257
MURRAY, MICHAEL FRANCIS	PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR	2074275
RANTS, DOUGLAS JOHN	CHIEF INFORMATION SECURITY OFFICER	7148529
ROBERTS, DAWN MARIE	CHIEF FINANCIAL OFFICER	7929617
SCHELHAAS, NATHAN PAUL	DIRECTOR	7275495
SPADAFORA, CRAIG ALAN	SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM	3184320
VANWINKLE, DANIEL SIMON	PSI AML OFFICER	4715191

Regulatory assets under management

Total Number of Accounts	63,730
AUM (Assets Under Management)	$ 14,827,718,110

Disclosures

Regulatory Event	9
Arbitration	3
Bond	3

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mike A. Priestley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mike Anthony Priestley's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Mike Anthony Priestley's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

LAWING FINANCIAL INC

CAMBRIDGE INVESTMENT RESEARCH, INC.

THE O.N. EQUITY SALES COMPANY

KESTRA INVESTMENT SERVICES, LLC

MML INVESTORS SERVICES, LLC

M HOLDINGS SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

OSAIC FS, INC.

LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

CANADA LIFE OF AMERICA FINANCIAL SERVICES, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

VP DISTRIBUTORS LLC

IFG NETWORK SECURITIES, INC.

JOHN HANCOCK DISTRIBUTORS LLC

JOHN HANCOCK DISTRIBUTORS LLC

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/21/2012

Series 63

Date: 5/25/2001

SIE

Date: 10/1/2018

Series 6

Date: 10/23/1981

FINRA

Current Firm

PRINCIPAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL SECURITIES, INC.

TRUST BUT VERIFY

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