TD
Timothy M. Dardis
PRINCIPAL SECURITIES
Sioux Falls, SD 57108
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CRD#: 2044296
TD
Professional summary
Timothy Michael Dardis, ChFC®, CLU® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Sioux Falls, South Dakota.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Timothy has worked at 3 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.
***GRABER AND ASSOCIATES. 2009-PRESENT. SUBMITS GRP/IND HEALTH & LIFE THROUGH INDEPENDENT AGENCY. ***GREAT PLAINS BROKERAGE. 04/2010-PRESENT. SELLS GRP HEALTH/NON-MED EMPLOYEE BENEFITS. ***OUTSIDE INSURANCE, 10/03/2011, SELLING FIXED LIFE, FIXED ANNUITIES AND DISABILITY INSURANCE, LTC, THROUGH VARIOUS CARRIERS. ***SIOUX FALLS SCHOOLS CATHOLIC FOUNDATION. 11/13/2012. MEMBER OF THE INVESTMENT POLICY COMMITTEE. ***CATHOLIC COMMUNITY FOUNDATION OF EASTERN SOUTH DAKOTA POSITION: Committee Member NATURE: Charitable Event INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2017 ADDRESS: 523 N Duluth Ave, Sioux Falls SD 57104, United States DESCRIPTION: Participate in the event Planning with a group of volunteers to coordinate logistics, hosting & charitable fundraising for the annual Gift of Hope Concert & Bishops Hunt charitable events. ***INSURANCE POSITION: Financial Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/30/2024 ADDRESS: 4910 S. Isabel Place, Suite 100, Sioux Falls SD 57108, United States DESCRIPTION: This replaces EBI, Inc. for Sanford Health enrollment of physicians and executives.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Michael Dardis's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Michael Dardis'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®
Experience
Current
August 19, 2003 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4910 S Isabel Pl Ste 100, Sioux Falls, SD 57108RIA
BD
CRD#: 1137
Sioux Falls, SD
Current
August 11, 2003 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4910 S Isabel Pl Ste 100, Sioux Falls, SD 57108RIA
BD
CRD#: 1137
Sioux Falls, SD
Past
June 20, 2002 - August 5, 2003
EIDE BAILLY ADVISORS, LLC
RIA
CRD#: 113564
SIOUX FALLS, SD
Past
January 23, 2002 - July 28, 2003
CAP PRO BROKERAGE SERVICES, INC.
BD
CRD#: 103953
COLUMBUS, OH
Past
August 18, 1995 - March 5, 2003
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
April 2, 1990 - December 7, 1993
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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
Alaska(3/12/2020)
RR
Arizona(1/10/2005)
RR
California(7/26/2005)
RR
Colorado(9/27/2023)
RR
Florida(12/3/2024)
RR
Illinois(4/26/2007)
RR
Iowa(2/10/2005)
RR
Michigan(7/10/2023)
RR
Minnesota(11/25/2003)
RR
Montana(9/12/2013)
RR
Nebraska(8/24/2006)
RR
North Dakota(4/26/2007)
RR
Oklahoma(2/26/2009)
RR
Oregon(10/21/2016)
RR
South Dakota(8/11/2003)
IAR
South Dakota(8/19/2003)
RR
Wisconsin(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
