MG
Matthew P. Giesler
PRINCIPAL SECURITIES
Ft Thomas, KY
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CRD#: 2317915
MG
Professional summary
Matthew Paul Giesler, who also goes by Matt Giesler, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Ft Thomas, Kentucky.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Matthew has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Giesler
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.
INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 09/26/2023 ADDRESS: 230 Holiday Lane, Ft. Thomas KY 41075, United States DESCRIPTION: Selling Life, VA, Fixed annuities, DI, LTC. Variable Life.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Paul Giesler's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Paul Giesler'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 19, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Ft Thomas, KY
Current
January 3, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Ft Thomas, KY
Past
January 5, 2023 - September 14, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Ft Thomas, KY
Past
October 5, 2018 - January 6, 2023
OSAIC FA, INC.
RIA
CRD#: 3978
FT THOMAS, KY
Past
October 5, 2018 - January 6, 2023
OSAIC FA, INC.
BD
CRD#: 3978
FT THOMAS, KY
Past
November 8, 2017 - September 24, 2018
SECURE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 141195
Ft. Thomas, KY
Past
July 12, 2011 - September 29, 2017
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
COLD SPRING, KY
Past
July 12, 2011 - September 29, 2017
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
COLD SPRING, KY
Past
July 6, 2005 - July 13, 2011
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
BELLEVUE, KY
Past
July 6, 2005 - July 13, 2011
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
BELLEVUE, KY
Past
December 12, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
BELLEVUE, KY
Past
December 12, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
January 23, 2001 - December 11, 2003
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
CINCINNATI, OH
Past
May 3, 1999 - December 11, 2003
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NEW YORK, NY
Past
February 25, 1993 - May 3, 1999
GUARDIAN INVESTOR SERVICES LLC
BD
CRD#: 6635
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
Florida(1/3/2023)
RR
Kentucky(1/3/2023)
IAR
Kentucky(10/19/2023)
RR
Ohio(1/3/2023)
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.
