Shaun M. Dalton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Shaun Michael Dalton, who also goes by Shaun Dalton, was a registered financial professional .
Shaun is a previously registered financial professional and started their career in finance in 1995. Shaun had worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 55 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2023 - December 17, 2024
PRINCIPAL SECURITIES, INC.
September 11, 2023 - December 17, 2024
PRINCIPAL SECURITIES, INC.
December 17, 2020 - September 18, 2023
PRUCO SECURITIES, LLC.
February 6, 2020 - September 18, 2023
PRUCO SECURITIES, LLC.
April 18, 2016 - February 7, 2020
VALIC FINANCIAL ADVISORS, INC.
April 18, 2016 - February 7, 2020
VALIC FINANCIAL ADVISORS, INC.
March 17, 2015 - July 28, 2015
WADDELL & REED
June 11, 2003 - April 13, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
June 5, 2003 - April 13, 2005
IDS LIFE INSURANCE COMPANY
June 5, 2003 - April 13, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
November 27, 2001 - March 27, 2002
WORLDCO, L.L.C.
July 27, 1999 - May 1, 2000
DEUTSCHE IXE, LLC
June 15, 1998 - July 6, 1999
CATHAY FINANCIAL INC
January 16, 1995 - June 2, 1998
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 8/26/1999
Limited Representative-Equity Trader ExamCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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.
