MT
Maryann T. Thielke
PRINCIPAL SECURITIES
Sheboygan, WI 53081
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CRD#: 1794649
MT
Professional summary
Maryann T Thielke, who also goes by Mary Ann Therese Thielke, Mary Ann T Thielke, Mary Ann Therese Thielke, Mary Ann Therese Trilling, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Sheboygan, Wisconsin.
Maryann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Maryann has worked at 5 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mary Ann Therese Thielke | Mary Ann T Thielke | Mary Ann Therese Thielke | Mary Ann Therese Trilling
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.
***DM THIELKE REALTY LLC. 10/2010. OWNER COMMERCIAL PROPERTY. ***FUNERAL TRUST LIFE INSURANCE. 10/01/2013. SELLING FUNERAL TRUST LIFE INSURANCE THROUGH VARIOUS CARRIERS TO INCLUDE NATIONAL GUARDIAN LIFE INSURANCE. ***OUTSIDE INSURANCE. 08/15/14. LIFE, DI, HEALTH, LTC. FAMILY SERVICE ASSOCIATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/25/2022 ADDRESS: 1930 North 8th Street, Sheboygan WI 53081, United States DESCRIPTION: I will be on the Board of Directors and will be attending monthly and/or quarterly Board meetings. No financial services or products/investments will be part of my responsibilities. I will be assisting with fundraising and community events during my three year term.
CRS (Client Relationship Summary) - RIA
Click below to view Maryann T Thielke's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maryann T Thielke'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 5, 2011 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 504 S 14th St, Sheboygan, WI 53081RIA
BD
CRD#: 1137
Sheboygan, WI
Current
October 18, 2010 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 504 S 14th St, Sheboygan, WI 53081RIA
BD
CRD#: 1137
Sheboygan, WI
Past
March 3, 2008 - October 18, 2010
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
SHEBOYGAN, WI
Past
March 3, 2008 - October 18, 2010
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
SHEBOYGAN, WI
Past
September 7, 2005 - March 5, 2008
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
SHEBOYGAN, WI
Past
August 25, 1998 - August 26, 2005
M&I FINANCIAL ADVISORS, INC
BD
CRD#: 16517
MILWAUKEE, WI
Past
February 23, 1988 - August 26, 1998
FIRSTAR INVESTMENT SERVICES,INC.
BD
CRD#: 14536
MORRIS PLAINS, 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
Florida(2/15/2022)
RR
Iowa(4/25/2024)
RR
Texas(4/19/2022)
IAR
Texas(4/22/2022)
RR
Wisconsin(10/18/2010)
IAR
Wisconsin(10/5/2011)
Exams
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Sheboygan, WI 53081TRUST BUT VERIFY
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