KC
Kevin C. Collignon
PRINCIPAL SECURITIES
Windermere, FL
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CRD#: 1185112
KC
Professional summary
Kevin Charles Collignon, CFP®, who also goes by K C Collignon, Kc Collignon, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Windermere, Florida.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Kevin has worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
K C Collignon | Kc Collignon
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; Not Investment Related; Astatula, FL; Agent; Life, Annuities, DI, LTC, Group Medical, LTC, Vision, Group Benefits, health, Dental; Start Date: 08/14/2015; 10 hrs per month; 1 during trading hours. COLLIGNON PFS POSITION: business checking account NATURE: opend business checking account under Collignon PFS name INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2023 ADDRESS: 14012 Florigold Dr, Windermere FL 34786, United States DESCRIPTION: this is simply just a business checking account under name Collignon PFS
CRS (Client Relationship Summary) - RIA
Click below to view Kevin Charles Collignon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin Charles Collignon'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®
Experience
Current
August 6, 2015 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Windermere, FL
Current
July 31, 2015 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Windermere, FL
Past
March 25, 2015 - August 4, 2015
OSAIC WEALTH, INC.
RIA
CRD#: 23131
ASTATULA, FL
Past
March 9, 2015 - August 4, 2015
OSAIC WEALTH, INC.
BD
CRD#: 23131
ASTATULA, FL
Past
January 4, 2007 - July 31, 2015
FIRST MIDWEST SECURITIES, INC.
RIA
CRD#: 21786
ASTATULA, FL
Past
December 15, 2006 - July 1, 2015
FIRST MIDWEST SECURITIES, INC.
BD
CRD#: 21786
ASTATULA, FL
Past
June 22, 2005 - November 2, 2006
AMSOUTH INVESTMENT MANAGEMENT COMPANY LLC
RIA
CRD#: 111757
ORLANDO, FL
Past
February 10, 2004 - October 31, 2006
AMSOUTH INVESTMENT SERVICES, INC.
BD
CRD#: 15692
ORLANDO, FL
Past
November 30, 1983 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
BD
CRD#: 6320
Past
November 30, 1983 - February 28, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
November 30, 1983 - February 28, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
California(2/15/2018)
RR
Colorado(9/29/2020)
RR
Connecticut(7/30/2019)
RR
Florida(8/3/2015)
IAR
Florida(8/6/2015)
RR
Georgia(8/11/2015)
RR
Indiana(9/24/2020)
RR
Maine(6/5/2023)
RR
Maryland(5/12/2025)
RR
Minnesota(7/21/2023)
RR
Montana(9/29/2020)
RR
Nevada(5/6/2025)
RR
New Jersey(9/26/2019)
RR
New York(8/5/2015)
RR
Oklahoma(10/5/2020)
RR
Oregon(10/7/2015)
RR
Pennsylvania(9/22/2020)
RR
South Dakota(8/5/2015)
RR
Tennessee(10/2/2020)
RR
Texas(12/20/2022)
IAR
Texas(12/21/2022)
RR
Virginia(7/1/2025)
Exams
State Security Law Exam
General Industry/Product 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.
