KK
Kamaljit S. Kaushal
PRINCIPAL SECURITIES
Addison, TX 75001
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CRD#: 1746140
KK
Professional summary
Kamaljit Singh Kaushal is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Addison, Texas.
Kamaljit is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Kamaljit has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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; Investment Related; Addison, TX; Agent; Life, Annuities, DI, LTC; Start Date: 05/01/2019; 5 hrs per month; 0 during trading hours. **India Association of North Texas; Not Investment Related; Richardson, TX; Board Member; Immediate past president. Preserve and promote Asian Indian Arts & Culture and foster relationship with community at large in north Texas; Start Date: 01/01/2016; 2 hrs per month; 0 during trading hours. **KSK Investments LLC; Not Investment Related; Addison, TX; Owner; LLC established for personal investments.; Start Date: 10/06/2015; 2 hrs per month; 0 during trading hours. **KAMAL KAUSHAL AND ASSOCIATES WEALTH PADS POSITION: Chief Executive Officer and President NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 100 START DATE: 07/16/2022 ADDRESS: 5080 Spectrum Drive, Suite 1200E, Addison TX 75013, United States DESCRIPTION: As a Chief Executive Officer and President of wealth Pads (Pads abbreviated for preservation, accumulation and distribution strategies), my role will be to help individual and business clients get the right financial products for their needs by utilizing proper strategies by utilizing PSI, PFN approved financial products from fixed and variable life insurance, fixed and variable annuities, IDI and broad range of securities. **INDIA ASSOCIATION OF NORTH TEXAS POSITION: Board Member NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2016 ADDRESS: , Richardson TX , United States DESCRIPTION: Immediate past president. Preserve and promote Asian Indian Arts & Culture and foster relationship with community at large in north Texas. **INDIA ASSOCIATION OF N TX (IANT) POSITION: Co-Chair, Board of Trustees NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/02/2023 ADDRESS: 701 N US 75 Central EXPY, Unit #5, Richardson TX 75080, United States DESCRIPTION: Mentor and guide board of directors in preserving and show casing Asian Indian arts and culture by maintaining relations with North Texas Asia Indians as well as community at-large.
CRS (Client Relationship Summary) - RIA
Click below to view Kamaljit Singh Kaushal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kamaljit Singh Kaushal'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
May 23, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5080 Spectrum Dr Ste 1200e, Addison, TX 75001RIA
BD
CRD#: 1137
Addison, TX
Current
May 14, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5080 Spectrum Dr Ste 1200e, Addison, TX 75001RIA
BD
CRD#: 1137
Addison, TX
Past
April 9, 2015 - January 23, 2019
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
DALLAS, TX
Past
January 1, 1990 - January 22, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
FRISCO, TX
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
Arkansas(10/8/2021)
RR
California(4/19/2022)
RR
Colorado(6/13/2022)
RR
Oklahoma(10/14/2021)
RR
Texas(5/14/2019)
IAR
Texas(5/23/2019)
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.
