RP
Ronald D. Piccinini
PRINCIPAL SECURITIES
Tampa, FL 33609
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CRD#: 1820618
RP
Professional summary
Ronald Domenic Piccinini is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Tampa, Florida.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Ronald has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 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.
**OUTSIDE INSURANCE, BROKER - FIXED PRODUCTS, LIFE, HEALTH, MEDICARE SUPPLEMENTS,5/23/13. **Fixed Insurance, 4010 W Boy Scout Blvd, Suite 700, Tampa FL 33607, LTC, 09/29/17, Investment Related: Y, Hours Per Month: 1. **ROPA Financial Services, 3535 Douglas Pl, Palm Harbor, FL 33139, Owner of Sub Chapter S Corp used to receive residual insurance commissions. Not used as DBA., 01/1999, Investment Related: N, Hours Per Month: 1. **Fixed Insurance, 4010 Boy Scout Blvd, Suite 700, Tampa, FL 33607, Annuities, DI, 10/02/17, Investment Related: Y, Hours Per Month: 5.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Domenic Piccinini's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald Domenic Piccinini'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 15, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4830 W Kennedy Blvd Ste 550, Tampa, FL 33609RIA
BD
CRD#: 1137
Tampa, FL
Current
April 23, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4830 W Kennedy Blvd Ste 550, Tampa, FL 33609RIA
BD
CRD#: 1137
Tampa, FL
Past
February 17, 2009 - April 17, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
ORLANDO, FL
Past
March 10, 2004 - December 31, 2008
NEW ENGLAND SECURITIES
RIA
CRD#: 615
ORLANDO, FL
Past
July 22, 2002 - April 17, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
ORLANDO, FL
Past
June 7, 2000 - June 9, 2000
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Past
June 7, 2000 - August 1, 2002
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
September 7, 1988 - January 18, 1999
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 7, 1988 - January 18, 1999
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(7/3/2018)
RR
Colorado(9/26/2018)
RR
Connecticut(6/7/2016)
RR
Delaware(5/3/2022)
RR
Florida(4/25/2013)
IAR
Florida(5/15/2013)
RR
Illinois(10/16/2019)
RR
Indiana(4/25/2022)
RR
Massachusetts(7/22/2016)
RR
Michigan(4/21/2022)
RR
Nebraska(10/4/2024)
RR
Nevada(7/31/2017)
RR
Oklahoma(2/6/2023)
RR
Oregon(1/6/2021)
RR
South Carolina(8/21/2017)
RR
South Dakota(6/30/2025)
RR
Texas(9/16/2021)
RR
Utah(4/11/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 9/25/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Tampa, FL 33609TRUST BUT VERIFY
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