VK
Vincent J. Kotarski
PRINCIPAL SECURITIES
Indianapolis, IN 46268
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CRD#: 1563569
VK
Professional summary
Vincent Joseph Kotarski, who also goes by VInce Kotarski, Vincent Joseph Kotarski Jr, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Indianapolis, Indiana.
Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Vincent has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vince Kotarski | Vincent Joseph Kotarski Jr
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.
**Fixed Insurance; Investment Related; 12102 Valley Brook Ct, Indianapolis, IN 46229; Life, Health, STD, LTD, Dental, P&C, Vision, DI, Group Benefits; Sales; Start Date: 04/01/1993; 120 hrs per month; 100 during trading hours. **EMPLOYEE BENEFITS POSITION: President NATURE: Group medical and non-medical products; individual life, disability and health products. INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 100 START DATE: 04/01/2001 ADDRESS: 10444 Muir Lane, Fishers IN 46037, United States DESCRIPTION: Executive Benefits, Inc. is an independent insurance agency specializing in Employee Benefits as well as individual life and health products. **EXECUTIVE BENEFITS, INC. POSITION: Ownership of DBA NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2001 ADDRESS: 10444 Muir Lane, Fishers IN 46037, United States DESCRIPTION: President 100% owner of DBA Executive Benefits, Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Vincent Joseph Kotarski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vincent Joseph Kotarski'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
May 11, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8910 Purdue Rd Ste 705, Indianapolis, IN 46268RIA
BD
CRD#: 1137
Indianapolis, IN
Current
June 29, 2010 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8910 Purdue Rd Ste 705, Indianapolis, IN 46268RIA
BD
CRD#: 1137
Indianapolis, IN
Past
August 1, 2008 - July 2, 2010
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
INDIANAPOLIS, IN
Past
August 8, 1997 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
INDIANAPOLIS, IN
Past
September 2, 1992 - August 8, 1997
AMERICAN UNITED LIFE INSURANCE COMPANY
BD
CRD#: 1075
INDIANAPOLIS, IN
Past
April 16, 1992 - December 31, 1993
F & G SECURITIES, INC.
BD
CRD#: 16364
Past
July 2, 1991 - April 27, 1992
OLD SLIP CAPITAL MANAGEMENT, INC.
BD
CRD#: 7360
NEW YORK, NY
Past
October 7, 1986 - May 25, 1989
NATIONWIDE SECURITIES, LLC
BD
CRD#: 11173
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
Indiana(7/6/2010)
IAR
Indiana(5/11/2018)
RR
Kansas(6/20/2024)
RR
Minnesota(11/2/2023)
RR
Ohio(1/10/2018)
RR
Texas(5/28/2020)
IAR
Texas(3/8/2021)
Exams
State Security Law Exam
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.
