Gustav E. Krantz
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.
Gustav Eugene Krantz, CFP®, who also goes by Gus Krantz, was a registered financial professional .
Gustav is a previously registered financial professional and started their career in finance in 1984. Gustav had worked at 12 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1994
Experience
September 29, 2015 - December 31, 2017
PRINCIPAL SECURITIES, INC.
September 24, 2015 - December 31, 2017
PRINCIPAL SECURITIES, INC.
December 3, 2009 - September 24, 2015
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
October 15, 2009 - September 24, 2015
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 19, 2008 - October 20, 2009
WRP INVESTMENTS, INC.
March 23, 2006 - October 16, 2007
CUNA BROKERAGE SERVICES, INC.
November 23, 2005 - October 16, 2007
CUNA BROKERAGE SERVICES, INC.
April 13, 2005 - December 31, 2006
MEMBERS TRUST COMPANY
August 30, 1999 - December 31, 2000
STANTON INVESTMENT SERVICES, INC.
March 29, 1995 - August 25, 1999
CETERA INVESTMENT SERVICES LLC
December 18, 1991 - February 13, 1995
FIRSTAR INVESTMENT SERVICES,INC.
October 20, 1988 - December 18, 1991
KINGLAND CAPITAL CORPORATION
June 5, 1986 - November 7, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 2, 1984 - May 13, 1986
PRUCO SECURITIES, LLC.
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.
