SH
Steven M. Handeland
PRINCIPAL SECURITIES
Grand Rapids, MI 49512
Some features on this profile are disabled
CRD#: 1227712
SH
Professional summary
Steven Mark Handeland, who also goes by Steve Handeland, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Grand Rapids, Michigan.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Steven has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Handeland
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; Life, Annuities, DI; 09/04/2015 **BURGESS LAKE HOMEOWNERS ASSOCIATION POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 10963 Old Oak Drive, Greenville MI 48838, United States DESCRIPTION: I will become President of my local homeowner's association on 1/1/2022. I will serve on the board with a board treasurer, and a board secretary. We will be having two board meetings per year. The Treasurer will handle all funds (homeowner's dues) and will be the only person allowed to write checks for association. **EDGE WEALTH MANAGEMENT DBA POSITION: Edge Wealth Management NATURE: Fee-based Financial Planning, DI/A@H Insurance, Life Insurance/Annuities, Mutual Funds, Securities, VA/VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 100 START DATE: 01/01/2024 ADDRESS: 10963 Old Oak Drive Greenville, Michi, GRAND RAPIDS MI 49512, United States DESCRIPTION: THE DBA IS A FULL-SERVICE WEALTH MANAGEMENT FIRM. PRODUCTS WE UTILIZE: SECURITIES, FEE BASED FINANCIAL PLANNING, FIXED AND VARIABLE ANNUITIES, 401(K) PLAN MANAGEMENT - 3(21) SERVICES, LIFE INSURANCE.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Mark Handeland's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Mark Handeland'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
October 3, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3196 Kraft Ave Se Ste 101, Grand Rapids, MI 49512RIA
BD
CRD#: 1137
Grand Rapids, MI
Current
October 3, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3196 Kraft Ave Se Ste 101, Grand Rapids, MI 49512RIA
BD
CRD#: 1137
Grand Rapids, MI
Past
March 5, 2010 - October 3, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Grand Rapids, MI
Past
April 22, 1992 - October 3, 2023
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Grand Rapids, MI
Past
August 25, 1988 - April 1, 1992
MONARCH SECURITIES, INC.
BD
CRD#: 2809
Past
March 30, 1984 - August 29, 1988
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
Past
March 30, 1984 - August 29, 1988
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
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
Alabama(10/3/2023)
RR
Arizona(10/3/2023)
RR
California(10/3/2023)
RR
Colorado(10/3/2023)
RR
Connecticut(10/3/2023)
RR
Delaware(10/3/2023)
RR
Florida(10/3/2023)
RR
Georgia(10/3/2023)
RR
Illinois(10/3/2023)
RR
Indiana(10/3/2023)
RR
Iowa(10/3/2023)
RR
Kentucky(10/3/2023)
RR
Maryland(10/3/2023)
RR
Michigan(10/3/2023)
IAR
Michigan(10/3/2023)
RR
Minnesota(10/3/2023)
RR
Missouri(7/11/2025)
RR
Nevada(10/3/2023)
RR
New Jersey(10/3/2023)
RR
North Carolina(10/3/2023)
RR
Ohio(10/3/2023)
RR
Oklahoma(10/3/2023)
RR
Pennsylvania(10/3/2023)
RR
South Carolina(10/3/2023)
RR
Texas(10/3/2023)
IAR
Texas(10/3/2023)
RR
Utah(10/3/2023)
RR
Virginia(10/3/2023)
RR
Washington(10/3/2023)
RR
Wisconsin(10/3/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 1137Grand Rapids, MI 49512TRUST BUT VERIFY
Monitor Steven Handeland
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
