MM
Michael K. Mcdonough
PRINCIPAL SECURITIES
Alameda, CA 94501
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CRD#: 1511844
MM
Professional summary
Michael Keith Mcdonough, who also goes by Michael Kieth Mcdonough, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Alameda, California.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Michael has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Kieth Mcdonough
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.
**COLONIAL LIFE, I WILL REMAIN APPOINTED WITH COLONIAL LIFE AS AN EMPLOYEE BENEFITS COUNSELOR,10/10. **MASTERING ACTION PLANS FOR SUCCESS (MAPS), OWNER AND DEVELOPER OF PROPRIETARY GOAL PLANNING SYSTEM THAT I HAD PACKAGED FOR SALE/DISTRIBUTION. AVAILABLE FOR SALE VIA INTERNET OR THROUGH SPEAKING EN GAGEMENTS, 6/17/15. **GROUP BENEFITS, SELLS GROUP BENEFITS, 7/26/11. **ART FORMS ENTERTAINMENT, PAINTING, SALE OF MARKETING MATERIALS TO SPEAKERS, CREATION OF TALK SHOT TO HELP ENTREPRENEURS, CEO/ARTIST, 7/8/15. **Outside Insurance; Investment Related; Broker; LI, DI, LTC; Start Date: 11/01/2018; 10 hrs per month; 10 during trading hours. **M K McDonough Financial and Insurance Services; Not Investment Related; Alameda, CA; Owner; pass through entity for business expense purposes; Start Date: 10/01/2019; 160 hrs per month; 160 during trading hours. **Fixed Insurance; Investment Related; Alameda, CA; Broker; Annuities; Start Date: 12/29/2020; 1 hrs per month; 1 during trading hours. **Alameda Boys and Girls Club; Not Investment Related; Alameda, CA; Board Member; Helping govern the operations of the organization, attend a minimum of 4 board meetings, committee meetings, and volunteer at special events.; Start Date: 11/19/2013; 3 hrs per month; 1 during trading hours. **PROPERTY & CASUALTY INSURANCE POSITION: Broker NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 8 START DATE: 09/07/2021 ADDRESS: 1070 Marina Village Pkwy, Suite 101B, Alameda CA 94501, United States DESCRIPTION: Sales and service of Property & Casualty insurance from various carriers. Products to include Workers Comp, E&O, D&O, General Liability, Employment Practice, Cyber insurance and other insurance that services the business market **M K MCDONOUGH LLC POSITION: Owner NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 03/24/2008 ADDRESS: 1070 Marina Village Pkwy, Suite 101B, Alameda CA 94501, United States DESCRIPTION: Pass through entity for business expense purposes. **INSURANCE (DBA: MK McDonough Financial & Insurance Services) POSITION: M K McDonough Financial & Insurance Servi NATURE: DI/A&H Insurance Fee-based Financial Planning Financial Strategies/Needs Analysis Group/Health Insurance Life Insurance/Annuities Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 130 SECURITIES TRADING HOURS: 6 START DATE: 07/15/2019 ADDRESS: 1070 Marina Village Pkwy, Suite 101B, Alameda CA 94501, United States DESCRIPTION: Through this DBA I offer employee benefits including group health & wellness plans and retirement plans. Additional services include individual fixed life, variable life, indexed life, health, disability and long-term care, fixed annuities, indexed annuities. **ALAMEDA NETWORKING & REFERRAL GROUP (FORMERLY ALAMEDA BUSINESS NETWORK) POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 01/06/2025 ADDRESS: 1070 Marina Village Pkwy, Suite 101B, Alameda CA 94501, United States DESCRIPTION: This is an informal business networking group where local business owners attend regular meetings to exchange referrals and meet other business professionals. I will plan and facilitate meetings. No products of any kind are sold.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Keith Mcdonough's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Keith Mcdonough'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 10, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1070 Marina Village Pkwy Ste 101b, Alameda, CA 94501RIA
BD
CRD#: 1137
Alameda, CA
Current
October 4, 2010 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1070 Marina Village Pkwy Ste 101b, Alameda, CA 94501RIA
BD
CRD#: 1137
Alameda, CA
Past
April 7, 2009 - September 16, 2010
BMA SECURITIES, LLC
BD
CRD#: 108219
ALAMEDA, CA
Past
July 16, 2008 - April 2, 2009
FINANCIAL WEST GROUP
RIA
CRD#: 16668
SAN FRANCISCO, CA
Past
June 25, 2008 - April 2, 2009
FINANCIAL WEST GROUP
BD
CRD#: 16668
RENO, NV
Past
March 25, 2002 - July 15, 2008
THE SHEMANO GROUP, INC.
BD
CRD#: 35528
SAN FRANCISCO, CA
Past
December 6, 2000 - May 29, 2002
INTERFIRST CAPITAL CORPORATION
BD
CRD#: 7659
LOS ANGELES, CA
Past
January 26, 2000 - December 21, 2000
KIRLIN SECURITIES INC.
BD
CRD#: 21210
SYOSSET, NY
Past
November 17, 1998 - January 24, 2000
WELLS FARGO SECURITIES, LLC
BD
CRD#: 7665
SAN FRANCISCO, CA
Past
February 2, 1988 - October 5, 1998
H.J. MEYERS & CO., INC.
BD
CRD#: 15609
ROCHESTER, NY
Past
April 29, 1987 - February 10, 1988
PRINCIPAL SECURITIES, INC.
BD
CRD#: 14819
Past
April 10, 1987 - April 27, 1987
VALUE EQUITIES CORPORATION
BD
CRD#: 13316
Past
December 17, 1986 - May 5, 1987
AMERICAN HERITAGE SECURITIES CORPORATION
BD
CRD#: 16130
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
California(10/4/2010)
IAR
California(10/10/2017)
RR
Florida(1/16/2024)
RR
Georgia(2/5/2021)
RR
Tennessee(6/9/2025)
RR
Texas(4/13/2023)
IAR
Texas(4/13/2023)
RR
Utah(1/14/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
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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.
