AB
Ana M. Brinkley
PRINCIPAL ADVISED SERVICES
SAINT PETERSBURG, FL
Some features on this profile are disabled
CRD#: 1762546
AB
Professional summary
Ana Maria Brinkley, who also goes by Ana Maria Martinez, Ana Maria Martinez-brinkley, Ana M Perez, Ana Maria Perez, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Saint Petersburg, Florida and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Ana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Ana has worked at 12 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ana Maria Martinez | Ana Maria Martinez-Brinkley | Ana M Perez | Ana Maria Perez
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.
**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/19/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/19/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
CRS (Client Relationship Summary) - RIA
Click below to view Ana Maria Brinkley'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
October 1, 2024 - Present
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
SAINT PETERSBURG, FL
Current
September 27, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
August 9, 2022 - January 4, 2024
FISHER INVESTMENTS
RIA
CRD#: 107342
Tampa, FL
Past
February 23, 2021 - July 13, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TAMPA, FL
Past
February 22, 2021 - July 13, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TAMPA, FL
Past
January 23, 2018 - February 16, 2021
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ST. PETERSBURG, FL
Past
November 1, 2017 - February 16, 2021
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ST. PETERSBURG, FL
Past
August 22, 2006 - October 24, 2017
STEPHENS
BD
CRD#: 3496
ST PETERSBURG, FL
Past
February 27, 2004 - August 28, 2006
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ST. PETERSBURG, FL
Past
April 25, 1995 - December 31, 2002
WILLIAM R. HOUGH & CO.
RIA
CRD#: 2235
ST. PETERSBURG, FL
Past
April 18, 1995 - February 27, 2004
WILLIAM R. HOUGH & CO.
BD
CRD#: 2235
ST. PETERSBURG, FL
Past
June 27, 1994 - April 6, 1995
GRUNTAL & CO., L.L.C.
BD
CRD#: 372
NEW YORK, NY
Past
February 2, 1994 - May 11, 1994
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 27, 1991 - December 22, 1993
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
September 20, 1988 - June 4, 1991
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
November 25, 1987 - September 22, 1988
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)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
Alabama(10/30/2024)
RR
Alaska(10/30/2024)
RR
Arizona(10/1/2024)
RR
Arkansas(10/30/2024)
RR
California(10/30/2024)
RR
Colorado(11/14/2024)
RR
Connecticut(9/30/2024)
RR
Delaware(10/30/2024)
RR
District of Columbia(10/3/2024)
RR
Florida(9/27/2024)
IAR
Florida(10/7/2024)
RR
Georgia(10/30/2024)
RR
Hawaii(10/30/2024)
RR
Idaho(9/30/2024)
RR
Illinois(10/30/2024)
RR
Indiana(10/30/2024)
IAR
Iowa(10/1/2024)
RR
Iowa(10/30/2024)
RR
Kansas(10/30/2024)
RR
Kentucky(10/30/2024)
RR
Louisiana(10/10/2024)
RR
Maine(10/30/2024)
RR
Maryland(10/2/2024)
RR
Massachusetts(10/30/2024)
RR
Michigan(10/30/2024)
RR
Minnesota(9/27/2024)
RR
Mississippi(9/27/2024)
RR
Missouri(10/30/2024)
RR
Montana(10/30/2024)
RR
Nebraska(10/30/2024)
RR
Nevada(10/30/2024)
RR
New Hampshire(10/30/2024)
RR
New Jersey(10/30/2024)
RR
New Mexico(10/30/2024)
RR
New York(10/30/2024)
RR
North Carolina(10/30/2024)
RR
North Dakota(10/30/2024)
RR
Ohio(10/31/2024)
RR
Oklahoma(9/27/2024)
RR
Oregon(10/30/2024)
RR
Pennsylvania(10/30/2024)
RR
Rhode Island(10/30/2024)
RR
South Carolina(9/27/2024)
RR
South Dakota(10/30/2024)
RR
Tennessee(10/30/2024)
RR
Texas(10/30/2024)
RR
Utah(10/30/2024)
RR
Vermont(10/30/2024)
RR
Virginia(10/30/2024)
RR
Washington(10/30/2024)
RR
West Virginia(10/30/2024)
RR
Wisconsin(10/30/2024)
RR
Wyoming(10/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/14/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 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.
