DG
David M. Gelia
PRINCIPAL SECURITIES
AMHERST, NY 14228
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CRD#: 1380539
DG
Professional summary
David Michael Gelia, who also goes by Dave Gelia, David Gelia, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Amherst, New York.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. David has worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Gelia | David Gelia
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.
**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/01/2024 ADDRESS: 90 Bryant Woods South, Amherst NY 14228, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **VILLA MARIA COLLEGE POSITION: Trustee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1800 ADDRESS: 240 Pine Ridge Road, Cheektowaga NY 14225, United States DESCRIPTION: Trustee. Attend 4 board meetings a year. **PROPERTY AND CASUALTYINSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 120 START DATE: 11/01/2024 ADDRESS: 90 Bryant Woods South, Amherst NY 14228, United States DESCRIPTION: Personal and Commercial Property and Casualty Sales.
CRS (Client Relationship Summary) - RIA
Click below to view David Michael Gelia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Michael Gelia'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
November 1, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 90 Bryant Woods S, Amherst, NY 14228RIA
BD
CRD#: 1137
AMHERST, NY
Current
October 24, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 90 Bryant Woods S, Amherst, NY 14228RIA
BD
CRD#: 1137
AMHERST, NY
Past
August 3, 2021 - November 7, 2024
LPL FINANCIAL LLC
RIA
CRD#: 6413
AMHERST, NY
Past
April 16, 2019 - November 7, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
AMHERST, NY
Past
November 9, 2016 - September 24, 2018
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
Amherst, NY
Past
July 22, 2011 - November 17, 2016
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
AMHERST, NY
Past
July 27, 2010 - June 30, 2011
ENSEMBLE FINANCIAL SERVICES, INC.
BD
CRD#: 17443
PITTSFORD, NY
Past
June 1, 2007 - July 7, 2010
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
August 22, 2000 - December 18, 2006
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
AMHERST, NY
Past
August 1, 1990 - August 16, 2000
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
Past
March 16, 1987 - July 5, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
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
Georgia(10/24/2024)
RR
New York(10/24/2024)
IAR
New York(11/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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#: 1137Amherst, NY 14228TRUST BUT VERIFY
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Contact information
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