MB
Mari J. Beeler
PRINCIPAL SECURITIES
DES MOINES, IA 50392
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CRD#: 2040163
MB
Professional summary
Mari Jo Beeler, who also goes by Mari Jo Schwerin, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Mari is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Mari has worked at 9 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 99, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mari Jo Schwerin
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.
MENTOR IOWA POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/25/2024 ADDRESS: 2332 Rocklyn Drive, Urbandale IA 50322, United States DESCRIPTION: Will be involved in the Finance Committee - which develops budget for organization, monitors revenue and expenses, oversees financial reporting/auditing. No checkwriting, investment decisions or access to any cash handling. The investments are managed by the Community Foundation and there is no direct investment decision making from this committee. All decisions go to the Executive Board for final decisions. The Development committee helps plan special events and participates in the Volunteering of various events for fund raising.
CRS (Client Relationship Summary) - RIA
Click below to view Mari Jo Beeler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mari Jo Beeler'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
April 25, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Current
October 14, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
July 9, 2015 - August 14, 2015
VSR FINANCIAL SERVICES, INC.
BD
CRD#: 14503
West Des Moines, IA
Past
July 9, 2015 - August 14, 2015
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
West Desmoines, IA
Past
July 9, 2015 - August 14, 2015
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
WEST DES MOINES, IA
Past
July 9, 2015 - August 14, 2015
GIRARD SECURITIES, INC.
BD
CRD#: 18697
WEST DES MOINES, IA
Past
March 3, 2015 - August 14, 2015
CETERA FINANCIAL SPECIALISTS LLC
BD
CRD#: 10358
W DES MOINES, IA
Past
March 3, 2015 - August 14, 2015
CETERA ADVISORS LLC
BD
CRD#: 10299
W DES MOINES, IA
Past
February 5, 2015 - August 14, 2015
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
W DES MOINES, IA
Past
August 12, 1999 - December 20, 2000
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
May 10, 1990 - June 4, 1992
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
Iowa(4/24/2018)
IAR
Iowa(4/25/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/27/2020
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 1137Des Moines, IA 50392TRUST BUT VERIFY
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