Joseph E. Lethbridge
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Joseph Edgar Lethbridge, who also goes by Joe Lethbridge, Joseph E. Lethbridge, Joseph Edgar Lethbridge Jr, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1990. Joseph had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2016 - June 26, 2019
PRINCIPAL SECURITIES, INC.
May 13, 2016 - June 26, 2019
PRINCIPAL SECURITIES, INC.
February 28, 2012 - May 24, 2016
CETERA ADVISORS LLC
February 28, 2012 - May 24, 2016
CETERA ADVISORS LLC
July 27, 2010 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
July 26, 2010 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
January 2, 2009 - July 19, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 6, 2000 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 20, 2000 - July 19, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 1, 1995 - November 27, 2000
CETERA WEALTH SERVICES, LLC
September 17, 1993 - December 8, 1995
KEY INVESTMENTS INC.
April 6, 1993 - September 15, 1993
WAMU INVESTMENTS, INC.
September 19, 1991 - April 21, 1993
CAPITAL BROKERAGE CORPORATION
April 24, 1990 - September 19, 1991
IDS LIFE INSURANCE COMPANY
April 24, 1990 - September 19, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
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
Exams
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.
