DG
Daniel D. Grieshaber
PRINCIPAL SECURITIES
Bethesda, MD 20817
Some features on this profile are disabled
CRD#: 1572398
DG
Professional summary
Daniel Douglas Grieshaber, who also goes by Dan Grieshaber, Daniel Douglas Frank Grieshaber, Daniel Douglas Grieshaber, Daniel Grieshaber, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Bethesda, Maryland.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 1988. Daniel has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dan Grieshaber | Daniel Douglas Frank Grieshaber | Daniel Douglas Grieshaber | Daniel Grieshaber
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Douglas Grieshaber'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
April 8, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6700 Rockledge Dr Bldg A Ste 350, Bethesda, MD 20817RIA
BD
CRD#: 1137
Bethesda, MD
Past
October 20, 2016 - May 11, 2021
W&S BROKERAGE SERVICES, INC.
BD
CRD#: 8099
PEORIA, IL
Past
January 15, 2015 - June 22, 2016
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
O FALLON, MO
Past
October 1, 2012 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
BD
CRD#: 2936
ST. LOUIS, MO
Past
May 11, 2010 - October 8, 2012
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
CHESTERFIELD, MO
Past
August 1, 2008 - January 4, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
NEW YORK CITY, NY
Past
October 19, 2004 - March 12, 2007
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
LADUE, MO
Past
October 15, 2004 - March 12, 2007
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
ST. LOUIS, MO
Past
July 2, 2002 - August 23, 2004
NEW ENGLAND SECURITIES
RIA
CRD#: 615
ST. LOUIS, MO
Past
June 5, 2002 - August 23, 2004
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
August 22, 2000 - December 6, 2001
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
June 23, 1997 - June 1, 2000
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 4, 1988 - October 3, 1995
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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.
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
Alabama(4/20/2022)
RR
Arizona(5/4/2022)
RR
Arkansas(4/20/2022)
RR
California(4/20/2022)
RR
Colorado(4/20/2022)
RR
Connecticut(4/21/2022)
RR
District of Columbia(4/26/2022)
RR
Florida(4/21/2022)
RR
Georgia(4/25/2022)
RR
Illinois(4/20/2022)
RR
Indiana(4/25/2022)
RR
Iowa(4/20/2022)
RR
Kansas(4/22/2022)
RR
Kentucky(4/21/2022)
RR
Louisiana(4/20/2022)
RR
Maryland(4/20/2022)
RR
Massachusetts(5/17/2022)
RR
Michigan(4/25/2022)
RR
Minnesota(4/20/2022)
RR
Mississippi(4/21/2022)
RR
Missouri(4/11/2022)
RR
Nebraska(4/20/2022)
RR
New Jersey(4/21/2022)
RR
New York(4/21/2022)
RR
North Carolina(4/25/2022)
RR
Ohio(4/21/2022)
RR
Oklahoma(4/21/2022)
RR
Oregon(5/5/2022)
RR
Pennsylvania(4/21/2022)
RR
South Carolina(4/22/2022)
RR
Tennessee(4/21/2022)
RR
Texas(4/11/2022)
RR
Utah(4/21/2022)
RR
Virginia(4/25/2022)
RR
Washington(4/20/2022)
RR
Wisconsin(4/20/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
