TV
Thomas R. Vetrano
PRINCIPAL SECURITIES
Tucson, AZ 85741
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CRD#: 1646499
TV
Professional summary
Thomas Richard Vetrano, who also goes by Thomas R Vetrano, Thomasd Richard Vetrano, Thomsa Richard Vetrano, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Tucson, Arizona.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas R Vetrano | Thomasd Richard Vetrano | Thomsa Richard Vetrano
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. 05/16/2011, SELLING FIXED OUTSIDE INSURANCE TO INCLUDE LIFE, DI, LTC AND HEALTH INSURANCE THROUGH VARIOUS CARRIERS, FIXED ANNUITIES. ***911 Tower Challenge Foundation, Board Member, 03/27/17. ***Vetrano Properties, LLC; Not Investment Related; 10415 N Pecon Place, Tucson, AZ 85737; Co-owner; Jointly owned LLC with spouse. Receives income from tenant leases.; Start Date: 07/01/2007; 2 hrs per month; 0 during trading hours. ***Property; Not Investment Related; Tucson, AZ; Co-Owner; purchasing with the intent of selling or renting. Co-owned with brother handling day to day responsibilities, weekend responsibilities as needed; Start Date: 04/15/2021; 0 hrs per month; 0 during trading hours. HEARTS OF GOLD POLICE FAMILY OUTREACH FOUNDATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/09/2019 ADDRESS: 7498 N La Cholla Blvd, Tucson AZ 85741, United States DESCRIPTION: Stepping down as Chair on the Hearts of Gold board effective 7/31/2023.Will remain an active Board Member and will purposefully not have any financial responsibilities. Q#6 The address- mostly via Teams or a board member's home. This is an Edit to the original OBA in 7/09/2019 that stated that he was serving as the Chair of the board.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Richard Vetrano's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Richard Vetrano'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
February 17, 2006 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 7498 N La Cholla Blvd, Tucson, AZ 85741RIA
BD
CRD#: 1137
Tucson, AZ
Current
May 22, 1987 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 7498 N La Cholla Blvd, Tucson, AZ 85741RIA
BD
CRD#: 1137
Tucson, AZ
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(6/3/1987)
IAR
Arizona(3/23/2006)
RR
California(8/29/1995)
RR
Colorado(6/22/2019)
RR
District of Columbia(1/20/2022)
RR
Florida(10/21/2014)
RR
Hawaii(4/1/2021)
RR
Idaho(1/22/2025)
RR
Illinois(10/8/2020)
RR
Indiana(6/29/2021)
RR
Michigan(6/5/2019)
RR
Missouri(1/24/2024)
RR
Nevada(7/31/1998)
RR
New Mexico(8/11/2000)
RR
New York(1/5/1989)
RR
North Carolina(12/15/2016)
RR
Ohio(6/29/2021)
RR
Oklahoma(8/5/2021)
RR
Oregon(3/19/2012)
RR
Pennsylvania(12/21/2022)
RR
Tennessee(1/21/2022)
RR
Texas(12/22/1999)
IAR
Texas(3/8/2021)
RR
Utah(5/13/2013)
RR
Vermont(8/6/2018)
RR
Virginia(2/27/2014)
RR
Washington(11/1/2019)
RR
Wisconsin(2/14/2020)
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.
