Tary W. Farnholtz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tary William Farnholtz was a registered financial professional .
Tary is a previously registered financial professional and started their career in finance in 1983. Tary had worked at 11 firms and has passed the Series 63, SIE, Series 6, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 25, 2017 - September 28, 2017
PRINCIPAL SECURITIES, INC.
May 27, 2011 - December 16, 2011
SUNSET FINANCIAL SERVICES, INC.
August 11, 2006 - May 24, 2011
FORESTERS EQUITY SERVICES, INC.
March 8, 2004 - March 1, 2005
NEW ENGLAND SECURITIES
April 25, 2003 - March 25, 2004
PRINCIPAL SECURITIES, INC.
May 21, 2002 - February 24, 2003
METROPOLITAN LIFE INSURANCE COMPANY
May 21, 2002 - February 24, 2003
MSI FINANCIAL SERVICES, INC.
March 8, 2002 - April 30, 2002
QUEST SECURITIES, INC.
November 19, 1989 - September 14, 1993
OSAIC WEALTH, INC.
April 13, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 25, 1985 - April 14, 1988
SOUTHMARK FINANCIAL SERVICES, INC.
August 26, 1983 - March 1, 1985
CETERA WEALTH SERVICES, LLC
April 20, 1983 - September 6, 1983
SOUTHMARK FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
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 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
