DB
David M. Bender
PRINCIPAL SECURITIES
Lake Elmo, MN 55042
Some features on this profile are disabled
CRD#: 1472002
DB
Professional summary
David M Bender, who also goes by Dave Bender, David Michael Bender, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lake Elmo, Minnesota.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. David has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dave Bender | David Michael Bender
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: Fixed Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 09/16/2021 ADDRESS: 8530 Eagle Point Blvd Ste 125, Lake Elmo MN 55042, United States DESCRIPTION: Fixed Life, Fixed Annuity, DI, LTC, Health, Voluntary and Company paid group benefits, Medicare Supplemental Contracts
CRS (Client Relationship Summary) - RIA
Click below to view David M Bender's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David M Bender'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 22, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042RIA
BD
CRD#: 1137
Lake Elmo, MN
Current
September 16, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042RIA
BD
CRD#: 1137
Lake Elmo, MN
Past
July 27, 2016 - December 31, 2020
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
January 17, 2014 - June 20, 2016
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
MINNETONKA, MN
Past
April 30, 2007 - September 22, 2008
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
Past
February 2, 2007 - June 20, 2016
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
MINNETONKA, MN
Past
February 9, 2006 - January 17, 2007
ASSOCIATED INVESTMENT SERVICES, INC.
BD
CRD#: 1464
EAGAN, MN
Past
October 19, 2004 - February 9, 2005
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
April 5, 1993 - December 31, 2002
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
September 12, 1988 - March 23, 1993
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 29, 1987 - September 21, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
March 19, 1986 - March 23, 1987
MONY SECURITIES CORPORATION
BD
CRD#: 4386
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
Iowa(1/17/2023)
RR
Minnesota(9/16/2021)
IAR
Minnesota(10/22/2021)
RR
Nebraska(6/16/2022)
RR
Texas(8/25/2022)
IAR
Texas(8/25/2022)
RR
Wisconsin(9/16/2021)
RR
Wyoming(1/17/2023)
Exams
State Security Law Exam
State Security Law 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.
