TS
Thomas E. Sueppel
PRINCIPAL ADVISED SERVICES
Des Moines, IA 50392
Some features on this profile are disabled
CRD#: 2230386
TS
Professional summary
Thomas Edward Sueppel is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Des Moines, Iowa and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Thomas has worked at 3 firms and has passed the Series 66, 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Edward Sueppel'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
October 31, 2022 - Present
PRINCIPAL ADVISED SERVICES
Office #1: 711 High St, Des Moines, IA 50392RIA
CRD#: 297324
Des Moines, IA
Current
April 25, 2003 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
September 26, 2007 - September 23, 2008
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
Past
April 25, 2005 - October 31, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
July 29, 1992 - December 13, 1995
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)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(11/15/2013)
RR
Alaska(11/15/2013)
RR
Arizona(11/15/2013)
RR
Arkansas(11/15/2013)
RR
California(11/15/2013)
RR
Colorado(11/15/2013)
RR
Connecticut(11/15/2013)
RR
Delaware(11/15/2013)
RR
District of Columbia(11/15/2013)
RR
Florida(11/15/2013)
RR
Georgia(11/15/2013)
RR
Hawaii(11/15/2013)
RR
Idaho(11/15/2013)
RR
Illinois(11/15/2013)
RR
Indiana(11/15/2013)
RR
Iowa(6/10/2004)
IAR
Iowa(10/31/2022)
RR
Kansas(11/15/2013)
RR
Kentucky(11/15/2013)
RR
Louisiana(11/15/2013)
RR
Maine(11/15/2013)
RR
Maryland(11/15/2013)
RR
Massachusetts(11/15/2013)
RR
Michigan(11/15/2013)
RR
Minnesota(11/15/2013)
RR
Mississippi(11/15/2013)
RR
Missouri(11/15/2013)
RR
Montana(11/15/2013)
RR
Nebraska(11/15/2013)
RR
Nevada(11/15/2013)
RR
New Hampshire(11/15/2013)
RR
New Jersey(11/15/2013)
RR
New Mexico(11/15/2013)
RR
New York(11/15/2013)
RR
North Carolina(11/15/2013)
RR
North Dakota(11/15/2013)
RR
Ohio(11/15/2013)
RR
Oklahoma(11/15/2013)
RR
Oregon(11/15/2013)
RR
Pennsylvania(11/15/2013)
RR
Rhode Island(11/15/2013)
RR
South Carolina(11/15/2013)
RR
South Dakota(11/15/2013)
RR
Tennessee(11/15/2013)
RR
Texas(11/15/2013)
RR
Utah(11/15/2013)
RR
Vermont(11/15/2013)
RR
Virginia(11/15/2013)
RR
Washington(11/15/2013)
RR
West Virginia(11/15/2013)
RR
Wisconsin(11/15/2013)
RR
Wyoming(11/15/2013)
Exams
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
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PRINCIPAL ADVISED SERVICES
CRD#: 297324Des Moines, IA 50392TRUST BUT VERIFY
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