TT
Timothy J. Thoele
PRINCIPAL SECURITIES
Minnetonka, MN 55305
Some features on this profile are disabled
CRD#: 2319690
TT
Professional summary
Timothy John Thoele is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Minnetonka, Minnesota.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Timothy has worked at 1 firm and has passed the 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.
**OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, LONG TERM CARE INSURANCE, DISABILITY INSURANCE, FIXED ANNUITIES, HEALTH INSURANCE AND MEDICAL/SUPPLEMENTAL INSURANCE THROUGH VARIOUS CARRIERS, 04/01/15. **Thoele and Piprude Financial; Not Investment Related; Minnetonka, MN; Co-owner; Partnership established for succession planning. Not used as a DBA.; Start Date: 01/01/2020; 0 hrs per month; 0 during trading hours. **GULL CHAIN OF LAKES ASSOCIATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 12 START DATE: 05/11/2022 ADDRESS: 9486 Rocky Point Road, Lake Shore MN 56468, United States DESCRIPTION: Board Member for GCOLA, focus on Prevention of Aquatic Invasive Species. **POWER CORNER LLC POSITION: partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2023 ADDRESS: 11100 Wayzata Blvd Suite 405, Minnetonka MN 55305, United States DESCRIPTION: Power Corner LLC formed for partnership/teaming arrangement with other Principal advisors. LLC will provide operational support, business partnering and practice succession planning. **YMCA OF COLLIER COUNTY, FL POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 02/01/2024 ADDRESS: 101 Sand Hill St., Marco Island FL 34145, United States DESCRIPTION: Board Member. **HABITAT FOR HUMANITY OF COLLIER COUNTY POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 09/23/2024 ADDRESS: 11145 Tamiami Trl E, Naples FL 34113, United States DESCRIPTION: Serve as board member and a member of their finance committee. Along with 7 other board members oversee financial activity of the organization ie; land acquisition, home building costs, financial ability and need of home applicants.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy John Thoele's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy John Thoele'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
January 17, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, MN
Current
March 23, 1993 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, MN
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(3/12/2015)
RR
Arizona(7/19/2007)
RR
Arkansas(6/6/2008)
RR
California(5/30/2001)
RR
Colorado(5/27/2010)
RR
Delaware(1/27/2018)
RR
Florida(1/14/2015)
RR
Georgia(7/29/2009)
RR
Iowa(3/7/1997)
RR
Kentucky(1/14/2015)
RR
Louisiana(12/23/2015)
RR
Minnesota(3/25/1993)
IAR
Minnesota(5/6/2024)
RR
Mississippi(2/25/2019)
RR
Missouri(2/24/2017)
RR
Montana(4/24/2013)
RR
Nebraska(6/9/2003)
RR
Nevada(11/2/2012)
RR
New Jersey(11/10/2015)
RR
New Mexico(8/8/2006)
RR
New York(8/25/2010)
RR
North Carolina(5/16/2001)
RR
North Dakota(1/25/2000)
RR
Ohio(4/7/1999)
RR
Oregon(1/10/2019)
RR
Pennsylvania(6/11/2013)
RR
Rhode Island(3/28/2016)
RR
South Carolina(2/6/2017)
RR
South Dakota(11/28/1994)
RR
Texas(2/7/2017)
IAR
Texas(6/17/2021)
RR
Virginia(6/25/2001)
RR
Washington(10/10/2012)
RR
Wisconsin(6/10/2013)
RR
Wyoming(4/24/2013)
Exams
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.
