Ralph L. Fasano

PRINCIPAL SECURITIES

DES MOINES, IA 50392

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CRD#: 2302333

Professional summary

Ralph L Fasano, CFP®, who also goes by Ralph Louis Fasano Jr, Ralph Louis Fasano, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.

Ralph is registered as a RR (Registered Representative) and started their career in finance in 1992. Ralph has worked at 18 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ralph Louis Fasano Jr | Ralph Louis Fasano

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph L Fasano's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Experience

Current

April 18, 2022 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392

RIA

CRD#: 1137

DES MOINES, IA

Past

January 12, 2015 - September 26, 2017

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

MARLTON, NJ

Past

January 9, 2015 - September 26, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

HARRISON, NY

Past

April 9, 2014 - December 3, 2014

WORLD INVESTMENTS, LLC

CRD#: 20626

Marlton, NJ

Past

April 3, 2014 - December 3, 2014

WORLD INVESTMENTS, LLC

RIA

CRD#: 20626

Marlton, NJ

Past

August 22, 2011 - April 9, 2012

KOVACK ADVISORS, INC.

RIA

CRD#: 140808

FT. LAUDERDALE, FL

Past

March 3, 2010 - April 9, 2012

KOVACK SECURITIES INC.

CRD#: 44848

MT. LAUREL, NJ

Past

March 19, 2004 - September 10, 2009

NEXT FINANCIAL GROUP, INC.

RIA

CRD#: 46214

MARLTON, NJ

Past

March 19, 2004 - September 10, 2009

NEXT FINANCIAL GROUP, INC.

CRD#: 46214

MARLTON, NJ

Past

October 30, 2002 - March 12, 2004

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

RICHMOND, VA

Past

June 6, 2002 - March 12, 2004

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

December 22, 1999 - August 27, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 22, 1998 - November 23, 1998

CRESTAR SECURITIES CORPORATION

CRD#: 17464

RICHMOND, VA

Past

January 1, 1996 - February 20, 1998

FLEET BROKERAGE SECURITIES, INC.

CRD#: 7313

NEW YORK, NY

Past

September 8, 1994 - November 30, 1994

SEABOARD SECURITIES, INC.

CRD#: 755

FLORHAM PARK, NJ

Past

October 19, 1993 - May 16, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

October 19, 1993 - May 16, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

June 28, 1993 - September 9, 1993

SHAMROCK PARTNERS, LTD

CRD#: 23955

MEDIA, PA

Past

April 12, 1993 - July 22, 1993

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

April 7, 1993 - April 16, 1993

RUSSO SECURITIES INC.

CRD#: 14425

STATEN ISLAND, NY

Past

December 18, 1992 - March 16, 1993

U.S. SECURITIES CLEARING CORP.

CRD#: 15403

SAN DIEGO, CA

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)

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.

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

New Jersey
(5/3/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 4/8/2022

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 66

Date: 7/10/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 11/5/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/1992

General Securities Representative Examination

SRO Registrations

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (9/15/2025)

RETIREMENT PLAN CONSULTING (9/15/2025)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (9/15/2025)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (9/15/2025)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	Cover Page	Report

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.

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Firm Stability Insights

Ralph L. Fasano

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ralph L Fasano's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

WORLD INVESTMENTS, LLC

WORLD INVESTMENTS, LLC

KOVACK ADVISORS, INC.

KOVACK SECURITIES INC.

NEXT FINANCIAL GROUP, INC.

NEXT FINANCIAL GROUP, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CHARLES SCHWAB & CO., INC.

CRESTAR SECURITIES CORPORATION

FLEET BROKERAGE SECURITIES, INC.

SEABOARD SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

SHAMROCK PARTNERS, LTD

FIRST ASSET MANAGEMENT, INC.

RUSSO SECURITIES INC.

U.S. SECURITIES CLEARING CORP.

Primary Firm SEC Registration

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/8/2022

Series 66

Date: 7/10/2000

SIE

Date: 11/5/2021

Series 7

Date: 12/15/1992

FINRA

Current Firm

PRINCIPAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL SECURITIES, INC.

TRUST BUT VERIFY

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