Cheryl Martin
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.
Cheryl Martin, who also goes by Cheryl Lynn Huey, Cheryl Huey Martin, Cheryl Lynn Martin, was a registered financial professional .
Cheryl is a previously registered financial professional and started their career in finance in 1987. Cheryl had worked at 15 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2015 - September 28, 2016
PRINCIPAL SECURITIES, INC.
March 31, 2015 - September 28, 2016
PRINCIPAL SECURITIES, INC.
March 27, 2007 - April 3, 2015
NATIONWIDE INVESTMENT ADVISORS, LLC
September 22, 2004 - April 3, 2015
NATIONWIDE INVESTMENT SERVICES CORPORATION
March 13, 2002 - September 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
March 11, 2002 - September 15, 2003
WELLS FARGO CLEARING SERVICES, LLC
June 21, 2001 - November 15, 2001
HAGAR FINANCIAL CORP.
September 6, 2000 - March 2, 2001
BB&T INVESTMENT SERVICES, INC.
July 12, 2000 - August 16, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 9, 1997 - March 20, 2000
MML INVESTORS SERVICES, LLC
March 3, 1995 - February 7, 1997
KEY INVESTMENTS INC.
April 27, 1994 - March 3, 1995
SOCIETY INVESTMENTS, INC.
February 10, 1994 - March 22, 1994
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 21, 1991 - February 19, 1992
METROPOLITAN LIFE INSURANCE COMPANY
June 21, 1991 - February 19, 1992
MSI FINANCIAL SERVICES, INC.
May 10, 1990 - February 14, 1991
CAPITAL BROKERAGE CORPORATION
May 2, 1990 - June 12, 1990
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 1990 - June 12, 1990
MSI FINANCIAL SERVICES, INC.
February 11, 1987 - April 25, 1990
UR FINANCIAL, 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.
