RM
Ronald B. Merry
PRINCIPAL SECURITIES
GREAT FALLS, MT 59401
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CRD#: 1157250
RM
Professional summary
Ronald Bruce Merry is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Great Falls, Montana.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Ronald has worked at 1 firm and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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.
**SOCIETY OF FINANCIAL SERVICES PROFESSIONALS. 05/2006-PRESENT. SECRETARY/TREASURER, BALANCE THE CHECKBOOK ONCE A MONTH. **SUN RIVER SKEET CLUB, MT, EFFECTIVE 02/02/2010, BOARD MEMBER FOR HOBBY CLUB. **PERSONAL PROPERTY - FARM. 11/5/2009. OWNER OF SMALL HAY FARM WITH HORSES, GROW HAY TO BE SOLD EACH FALL. **RENTAL PROPERTY. 05/16/2011. I AM PURCHASING A HOME THAT WILL BE RENTED TO A FAMILY MEMBER. **Fixed Insurance; Investment Related; 100 1st Ave N, Suite 1, Great Falls, MT 59403; Agent; Life, Annuities, LTC, DI, Medicare Supplement, Group Benefits; Start Date: 04/01/1968; 2 hrs per month; 2 during trading hours. **NAIFA MONTANA POSITION: Affiliate Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2022 ADDRESS: 100 1st Ave N, suite 1, Great Falls MT 59401, United States DESCRIPTION: NAIFA recently merged all local associations to form one state association. Each Montana local has become an affiliate of the state organization. I have been asked to serve as the Affiliate Chair person for Montana North. I will serve as an appointed chair person attending a zoom meeting monthly. I will have voting rights with the elected state board members. My position will not have any check writing capabilities but I could vote regarding financial decisions. Our Executive Director handles all financial transactions. This appointment represents my ongoing commitment to my 54 year career and our industry. **INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 04/01/1968 ADDRESS: 100 1st Ave N, Suite 1, Great Falls MT 59403, United States DESCRIPTION: Life, Annuities, LTC, DI, Medicare Supplement, Group Benefits, Medical Insurance. **RENTAL PROPERTY POSITION: Owner/Trustee NATURE: Real Estate Rental Income INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/16/2011 ADDRESS: PO Box 3467, Great Falls MT 59403-3467, United States DESCRIPTION: Multiple rental properties owned by the Merry Family Trust.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Bruce Merry's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Bruce Merry's 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®
NoneExperience
Current
September 19, 2000 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1321 8th Ave N Ste 105, Great Falls, MT 59401RIA
BD
CRD#: 1137
GREAT FALLS, MT
Current
October 11, 1983 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1321 8th Ave N Ste 105, Great Falls, MT 59401RIA
BD
CRD#: 1137
GREAT FALLS, MT
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)BD
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.RR
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
RR
Alaska(1/31/2007)
RR
Arizona(10/2/2003)
RR
California(5/10/2000)
RR
Colorado(1/29/2007)
RR
Florida(6/18/2013)
RR
Idaho(1/4/2006)
RR
Illinois(9/21/2001)
RR
Indiana(8/15/2017)
RR
Kansas(1/30/2007)
RR
Michigan(11/17/2014)
RR
Minnesota(9/21/2001)
RR
Missouri(9/21/2001)
RR
Montana(10/12/1983)
IAR
Montana(9/19/2000)
RR
Nevada(12/10/2009)
RR
New Mexico(12/2/2020)
RR
North Dakota(9/21/2001)
RR
Ohio(6/26/2002)
RR
Oregon(9/21/2001)
RR
South Dakota(11/8/2004)
RR
Texas(1/31/2007)
IAR
Texas(3/8/2021)
RR
Utah(3/31/2000)
RR
Washington(7/13/1987)
RR
Wyoming(2/18/1997)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
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)BD
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
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Great Falls, MT 59401TRUST BUT VERIFY
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