PS
Peter D. Seltz
PRINCIPAL SECURITIES
Houston, TX 77027
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CRD#: 2216122
PS
Professional summary
Peter D Seltz, ChFC®, who also goes by Peter Seltz, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Houston, Texas.
Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Peter has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Peter Seltz
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.
**I HAVE OCCASIONALLY INVESTED IN REAL ESTATE & EXPECT TO AGAIN IN THE FUTURE. I ALSO MAKE FURNITURE AS A HOBBY, AND OCCASIONALLY SELL CUSTOM PIECES. THESE ARE PRIMARILY PASSIVE BUSINESS ACTIVITIES AND DO NOT REQUIRE SIGNIFICANT TIME COMMITMENTS. ***Fixed Insurance; Investment Related; Houston, TX; Agent; Fixed Life, Annuity, DI, Group, LTC, Medical; Start Date: 02/01/2005; 5 hrs per month; 5 during trading hours. **SELTZ FINANCIAL POSITION: owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/10/2024 ADDRESS: 17003 Bowdin Crest Dr, Cypress TX 77433, United States DESCRIPTION: I am forming this LLC for tax purposes and to pay my employee/private staff. I will not be using it with the public or marketing in any way. the only compensation will be generated from my activities/revenue with PFG/PPN or my already disclosed insurance OBA. there will be no other sources of revenue.
CRS (Client Relationship Summary) - RIA
Click below to view Peter D Seltz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Peter D Seltz'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
October 23, 2008 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1900 West Loop S Ste 650a, Houston, TX 77027RIA
BD
CRD#: 1137
Houston, TX
Current
February 8, 2005 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1900 West Loop S Ste 650a, Houston, TX 77027RIA
BD
CRD#: 1137
Houston, TX
Past
August 6, 2001 - January 24, 2005
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
ST. PAUL, MN
Past
August 6, 2001 - January 24, 2005
CRI SECURITIES, LLC
BD
CRD#: 22589
ST. PAUL, MN
Past
May 25, 2000 - June 26, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
February 27, 1992 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
February 27, 1992 - June 5, 2000
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
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(1/25/2023)
RR
Arkansas(12/14/2017)
RR
California(1/25/2023)
RR
Colorado(3/23/2021)
RR
Florida(1/30/2023)
RR
Georgia(1/25/2023)
RR
Indiana(6/21/2024)
RR
Iowa(9/10/2008)
RR
Kentucky(9/5/2024)
RR
Louisiana(4/5/2021)
RR
Massachusetts(1/25/2023)
RR
Minnesota(1/29/2018)
RR
Mississippi(1/25/2023)
RR
New Jersey(2/2/2024)
RR
New Mexico(8/16/2016)
RR
North Carolina(4/9/2021)
RR
North Dakota(1/25/2023)
RR
Ohio(8/10/2022)
RR
Oklahoma(11/3/2021)
RR
Texas(2/3/2015)
IAR
Texas(2/3/2015)
RR
Vermont(2/20/2024)
RR
Wisconsin(1/25/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
