Anita E. Sowers
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.
Anita Elaine Sowers was a registered financial professional .
Anita is a previously registered financial professional and started their career in finance in 1985. Anita had worked at 10 firms and has passed the Series 63, 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
Experience
September 20, 2005 - March 1, 2012
PRINCIPAL SECURITIES, INC.
August 17, 2005 - March 1, 2012
PRINCIPAL SECURITIES, INC.
January 1, 2004 - August 1, 2005
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - August 1, 2005
VOYA FINANCIAL ADVISORS, INC.
May 16, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
May 5, 2003 - January 1, 2004
LOCUST STREET SECURITIES, INC.
July 19, 2001 - April 29, 2003
EQUITY SERVICES, INC.
May 19, 2000 - April 29, 2003
EQUITY SERVICES, INC.
June 18, 1999 - May 16, 2000
WORLD CAPITAL BROKERAGE, INC.
June 6, 1995 - June 17, 1999
AMERICAN FINANCIAL ASSOCIATES, INC.
November 26, 1990 - April 17, 1995
METROPOLITAN LIFE INSURANCE COMPANY
November 26, 1990 - April 17, 1995
MSI FINANCIAL SERVICES, INC.
December 15, 1988 - November 14, 1990
INVEST FINANCIAL CORPORATION
February 8, 1985 - March 8, 1985
FORESTERS 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.
