Gordon M. Pettit
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.
Gordon Montroy Pettit, who also goes by Gordon M Pettit, Gordon Pettit, was a registered financial professional .
Gordon is a previously registered financial professional and started their career in finance in 1984. Gordon had worked at 11 firms and has passed the Series 65, Series 63, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2013 - June 5, 2014
PRINCIPAL SECURITIES, INC.
March 26, 2013 - June 5, 2014
PRINCIPAL SECURITIES, INC.
May 18, 2012 - September 5, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
May 18, 2012 - September 5, 2012
FIRST COMMAND BROKERAGE SERVICES, INC.
May 10, 2010 - April 30, 2012
MSI FINANCIAL SERVICES, INC.
March 10, 2010 - April 30, 2012
MSI FINANCIAL SERVICES, INC.
October 5, 2009 - March 4, 2010
WADDELL & REED
September 1, 2009 - March 4, 2010
WADDELL & REED
September 17, 2008 - March 18, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 11, 1990 - April 22, 1992
MARION BASS SECURITIES CORPORATION
October 14, 1988 - June 15, 1990
WACHOVIA SECURITIES, INC.
May 16, 1988 - October 14, 1988
JOHNSON, LANE, SPACE, SMITH & CO., INC.
February 24, 1988 - May 24, 1988
THOMSON MCKINNON SECURITIES INC.
July 2, 1985 - February 24, 1988
CAROLINA SECURITIES CORPORATION
June 4, 1984 - July 1, 1985
UBS 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.
