TB
Todd J. Barden
PRINCIPAL SECURITIES
Wauwatosa, WI 53226
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CRD#: 2072385
TB
Professional summary
Todd J. Barden, CFP®, who also goes by Todd James Barden, Todd J Barden, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wauwatosa, Wisconsin.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Todd has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Todd James Barden | Todd J Barden
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.
**The Plan Sponsor University (TPSU): Adjunct Lecturer. Annual lecture at Marquette University educating people about the importance of having a financial plan (since 9/22/2016). Investment related: yes, part of the lecture is about investing and how that fits in a financial plan. No products are sold. 8 hours per month during securities trading hours. 1530 W Wisconsin Ave Milwaukee, WI 53233 **FIXED INSURANCE POSITION: Fixed Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/29/2024 ADDRESS: 10361 W Innovation Dr, Ste 300, Wauwatosa WI 53226, United States DESCRIPTION: Sales of fixed insurance products through various vendors to include fixed life, fixed annuities, di, ltc, group benefits, health, and medical.
CRS (Client Relationship Summary) - RIA
Click below to view Todd J. Barden's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Todd J. Barden'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®
CFP®
Start date: 2006
Experience
Current
June 7, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226RIA
BD
CRD#: 1137
Wauwatosa, WI
Current
June 5, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226RIA
BD
CRD#: 1137
Wauwatosa, WI
Past
July 22, 2016 - March 6, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Milwaukee, WI
Past
July 22, 2016 - March 6, 2023
MORGAN STANLEY
BD
CRD#: 149777
Milwaukee, WI
Past
October 13, 2011 - August 12, 2016
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BROOKFIELD, WI
Past
October 13, 2011 - August 12, 2016
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
BROOKFIELD, WI
Past
January 20, 2010 - October 17, 2011
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
DELAFIELD, WI
Past
January 20, 2010 - October 17, 2011
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
DELAFIELD, WI
Past
January 13, 2005 - December 14, 2005
MIDWEST PROFESSIONAL PLANNERS, LTD.
RIA
CRD#: 112995
MILWAUKEE, WI
Past
April 16, 2001 - January 20, 2010
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
MILWAUKEE, WI
Past
October 25, 1990 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
October 25, 1990 - January 20, 2010
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
MILWAUKEE, WI
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
Alabama(6/6/2023)
RR
Arkansas(2/24/2025)
RR
California(6/6/2023)
RR
Florida(6/6/2023)
RR
Illinois(6/9/2023)
RR
Minnesota(6/8/2023)
RR
New York(9/23/2023)
RR
Texas(6/6/2023)
IAR
Texas(6/7/2023)
RR
Wisconsin(6/6/2023)
IAR
Wisconsin(6/7/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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#: 1137Wauwatosa, WI 53226TRUST BUT VERIFY
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