KA
Kelly M. Atkins
PRINCIPAL SECURITIES
Wayne, PA 19087
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CRD#: 1731853
KA
Professional summary
Kelly Mcbride Atkins, who also goes by Kelly Anne Mcbride, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wayne, Pennsylvania.
Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Kelly has worked at 3 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kelly Anne Mcbride
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, 550 E Swedesford Rd, Suite 140, Wayne, PA 19087, Life, DI, LTC, Health, Group, Dental, Medicare Supplement, 10/06/17, Investment Related: Y, Hours Per Month: 5. **KODIAK TAX SOLUTIONS POSITION: Kodiak Tax Solutions NATURE: CPA/Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2021 ADDRESS: 104 Apel Ave, Oreland PA 19075, United States DESCRIPTION: It is an existing tax preparation business I am purchasing part of and the business is primarily engaged in preparing tax returns for individuals and businesses. **KODIAK WEALTH MANAGEMENT LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/12/2024 ADDRESS: 550 E Swedesford, Ste 240, WAYNE PA 19087, United States DESCRIPTION: Kodiak Wealth Management LLC was formed as a partnership between me and Matthew DiPuppo to manage ongoing shared financial responsibilities associated with the hiring and managing of an office assistant. I will be a partner and responsibilities will include training and managing the assistant. There are no products or services, or customers that will be served beyond what I am doing in my position at Principal.
CRS (Client Relationship Summary) - RIA
Click below to view Kelly Mcbride Atkins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kelly Mcbride Atkins'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
September 1, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 550 E Swedesford Rd Ste 240, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
Current
July 21, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 550 E Swedesford Rd Ste 240, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
Past
May 20, 1991 - November 13, 1998
ABN AMRO SECURITIES LLC
BD
CRD#: 6540
NEW YORK, NY
Past
October 20, 1987 - April 19, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(7/31/2024)
RR
California(10/3/2025)
RR
Colorado(8/18/2020)
RR
Connecticut(9/26/2017)
RR
Delaware(3/28/2022)
RR
District of Columbia(6/28/2023)
RR
Florida(10/2/2019)
RR
Maryland(10/30/2020)
RR
Massachusetts(1/14/2021)
RR
New Jersey(7/25/2018)
RR
New Mexico(9/11/2025)
RR
New York(11/6/2017)
RR
Pennsylvania(8/30/2017)
IAR
Pennsylvania(9/1/2017)
RR
Vermont(4/12/2022)
RR
Virginia(3/16/2022)
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.
