BE
Brian G. Ellerman
PRINCIPAL SECURITIES
Downers Grove, IL 60515
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CRD#: 2230500
BE
Professional summary
Brian Gordon Ellerman is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Downers Grove, Illinois.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
**Summa Financial, no activity associated, owner, 10/16/15. **ALPINA PROPERTIES, LLC POSITION: Member NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/10/2023 ADDRESS: 532 EARLSTON RD, KENILWORTH IL 60043-1015, United States DESCRIPTION: We purchased a condominium we plan to rent out. We have it contracted through a property management company that takes care of all the property's needs in order to minimize any time we have to spend on it. We originally purchased the property directly (personally owned), but transferred it into an LLC as we were getting ready to put it on the rental market to limit our personal liability. **KENILWORTH COMMUNITY FUND POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2023 ADDRESS: 519 Richmond Rd., Kenilworth IL 60043, United States DESCRIPTION: Raises donations for not-for-profit organizations that serve the local community.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Gordon Ellerman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Gordon Ellerman'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 13, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3333 Finley Rd Ste 500, Downers Grove, IL 60515Office #2: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
Downers Grove, IL
Current
September 10, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3333 Finley Rd Ste 500, Downers Grove, IL 60515Office #2: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
Downers Grove, IL
Past
April 2, 2014 - August 7, 2015
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
NORTHBROOK, IL
Past
April 1, 2014 - August 6, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
NORTHBROOK, IL
Past
May 25, 2012 - December 6, 2013
MANNING & NAPIER ADVISORS, LLC
RIA
CRD#: 105992
NORTHFIELD, IL
Past
April 12, 2012 - December 6, 2013
MANNING & NAPIER INVESTOR SERVICES, INC.
BD
CRD#: 26266
NORTHFIELD, IL
Past
June 13, 2007 - April 2, 2012
MMC SECURITIES LLC
BD
CRD#: 103846
CHICAGO, IL
Past
June 12, 2000 - April 18, 2007
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
DEERFIELD, IL
Past
April 27, 1992 - August 8, 2000
MUTUAL SERVICE CORPORATION
BD
CRD#: 4806
BOSTON, MA
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
Delaware(9/10/2015)
RR
Illinois(9/10/2015)
IAR
Illinois(10/13/2015)
RR
Indiana(9/10/2015)
RR
Iowa(1/10/2017)
RR
Kentucky(9/10/2015)
RR
Michigan(9/10/2015)
RR
Missouri(9/10/2015)
RR
Ohio(9/10/2015)
RR
Pennsylvania(3/21/2016)
RR
West Virginia(9/10/2015)
RR
Wisconsin(9/10/2015)
Exams
State Security Law Exam
State Security Law 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.
