Susan J. Allen

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CRD#: 1689767

Professional summary

Susan Jane Allen was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Susan is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Susan had worked at 6 firms, which includes PRINCIPAL SECURITIES INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., CETERA WEALTH SERVICES LLC, OPPENHEIMER & CO. INC., B.C. CHRISTOPHER SECURITIES CO..

Question & Answer

Are you a "fiduciary"?

Aliases

Susan J Woik | Susan J Zimmer

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 4, 2005 - December 13, 2016

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Brookfield, WI

Past

March 4, 2005 - December 13, 2016

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Brookfield, WI

Past

January 28, 2000 - January 5, 2005

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 28, 2000 - January 5, 2005

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 2, 1996 - December 31, 1999

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 23, 1990 - December 31, 1995

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

October 2, 1987 - March 23, 1990

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

KANSAS CITY, MO

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)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/19/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/26/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/13/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 10/1/1987

Investment Company Products/Variable Contracts Representative Examination

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (9/15/2025)

RETIREMENT PLAN CONSULTING (9/15/2025)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (9/15/2025)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (9/15/2025)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	Cover Page	Report

Red Flags

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Susan J. Allen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

OPPENHEIMER & CO. INC.

B.C. CHRISTOPHER SECURITIES CO.

Primary Firm SEC Registration

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/2000

Series 63

Date: 8/26/1987

SIE

Date: 12/13/2016

Series 6

Date: 10/1/1987

Current Firm

PRINCIPAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL SECURITIES, INC.

TRUST BUT VERIFY

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