Abdiel A. Valenzuela
Professional summary
Abdiel Alan Valenzuela, who also goes by Abdiel A Valenzuela, Abdiel Alan Valenzuela, Abdiel Valenzuela, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in San Diego, California.
Abdiel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Abdiel has worked at 18 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Abdiel Alan Valenzuela's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Abdiel Alan Valenzuela's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 12, 2025 - Present
PRINCIPAL SECURITIES, INC.
May 9, 2025 - Present
PRINCIPAL SECURITIES, INC.
March 27, 2025 - April 29, 2025
RBC CAPITAL MARKETS, LLC
March 27, 2025 - April 29, 2025
RBC CAPITAL MARKETS, LLC
July 11, 2023 - August 6, 2024
AVANTAX ADVISORY SERVICES
July 11, 2023 - August 6, 2024
AVANTAX INVESTMENT SERVICES, INC.
June 20, 2017 - June 23, 2023
FINANCIAL SENSE ADVISORS, INC.
June 20, 2017 - June 23, 2023
FINANCIAL SENSE SECURITIES, INC.
January 31, 2017 - June 9, 2017
SUMMIT BROKERAGE SERVICES, INC.
January 31, 2017 - June 9, 2017
GIRARD SECURITIES, INC.
January 31, 2017 - June 9, 2017
FIRST ALLIED SECURITIES, INC.
January 31, 2017 - June 9, 2017
CETERA INVESTMENT SERVICES LLC
January 31, 2017 - June 9, 2017
CETERA FINANCIAL SPECIALISTS LLC
January 31, 2017 - June 9, 2017
CETERA ADVISORS LLC
January 31, 2017 - June 9, 2017
CETERA WEALTH SERVICES, LLC
January 30, 2017 - June 9, 2017
CETERA WEALTH SERVICES, LLC
September 14, 2009 - April 13, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
August 22, 2005 - November 20, 2015
LPL FINANCIAL LLC
August 22, 2005 - November 20, 2015
LPL FINANCIAL LLC
November 18, 2004 - February 15, 2005
PLANMEMBER SECURITIES CORPORATION
November 17, 2004 - February 15, 2005
PLANMEMBER SECURITIES CORPORATION
July 10, 1998 - November 4, 2004
CETERA WEALTH SERVICES, LLC
February 23, 1993 - May 4, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
November 21, 1989 - February 27, 1991
T. ROWE PRICE INVESTMENT SERVICES, INC.
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
(5/9/2025)
(5/12/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current 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.
