RM
Randall J. Malone
PRINCIPAL SECURITIES
Wauwatosa, WI 53226
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CRD#: 1536310
RM
Professional summary
Randall Jay Malone, AIF®, who also goes by Randall Malone, Randy Malone, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wauwatosa, Wisconsin.
Randall is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Randall has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Randall Malone | Randy Malone
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.
**OUTSIDE INSURANCE, SELLING TERM LIFE INSURANCE, LONG TERM CARE INSURANCE, AND FIXED ANNUITIES THROUGH VARIOUS CARRIERS, 7/27/12. **Congressman Brian Stiel Insurance and Financial Advisory Board; Not Investment Related; Janesville, WI; Advisor; Provide and share input on federal legislation and policy matters impacting the insurance and financial industry.; Start Date: 07/01/2019; 1 hrs per month; 1 during trading hours. **United Financial Advisors, LLC; Not Investment Related; Holmen, WI; Co-owner; LLC established to provide services to new retirement and existing plans.; Start Date: 02/09/2021; 10 hrs per month; 0 during trading hours. **MALONE WEALTH MANAGEMENT, LLC POSITION: Sole Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/14/2024 ADDRESS: S87W24515 Edgewood Ave, Big Bend WI 53103, United States DESCRIPTION: Malone Wealth Management, LLC was setup only to be used as part of my contingency agreement with Principal. **MALONE CONSERVANCY, LLC POSITION: Sole Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/14/2024 ADDRESS: S87W24515 Edgewood Ave, Big Bend WI 53103, United States DESCRIPTION: Sole member LLC. Setup for my forestry land. Not business related and no business conducted. **MALONE FINANCIAL SERVCICES POSITION: President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2007 ADDRESS: 10361 W Innovation Drive, Suite 300, Wauwatosa WI 53226, United States DESCRIPTION: Mostly the holding LLC that provides payroll for my employees.
CRS (Client Relationship Summary) - RIA
Click below to view Randall Jay Malone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randall Jay Malone'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®
Experience
Current
September 14, 1998 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226RIA
BD
CRD#: 1137
Wauwatosa, WI
Current
September 15, 1986 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226RIA
BD
CRD#: 1137
Wauwatosa, WI
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
Arizona(1/17/2003)
RR
Arkansas(10/15/2025)
RR
California(2/11/1994)
RR
Colorado(11/11/2019)
RR
Delaware(4/29/2022)
RR
Florida(1/17/2003)
RR
Georgia(12/22/2015)
RR
Illinois(4/9/1992)
RR
Indiana(12/22/2015)
RR
Iowa(5/20/2003)
RR
Kansas(10/25/2005)
RR
Louisiana(4/2/2020)
RR
Maryland(12/22/2015)
RR
Michigan(1/17/2003)
RR
Minnesota(5/8/2000)
RR
Missouri(11/11/2019)
RR
Nebraska(1/17/2003)
RR
Nevada(10/3/2011)
RR
New Jersey(12/22/2015)
RR
New York(9/10/2010)
RR
North Carolina(1/6/2014)
RR
North Dakota(1/14/2020)
RR
Ohio(10/16/2019)
RR
South Carolina(6/12/2007)
RR
South Dakota(9/6/2011)
RR
Tennessee(7/9/2013)
RR
Texas(11/17/1993)
IAR
Texas(6/17/2021)
RR
Utah(11/11/2019)
RR
Virginia(12/22/2015)
RR
Washington(7/25/2017)
RR
Wisconsin(7/18/1988)
IAR
Wisconsin(9/14/1998)
RR
Wyoming(4/8/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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#: 1137Wauwatosa, WI 53226TRUST BUT VERIFY
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