PS
Philip E. Showalter
PRINCIPAL SECURITIES
LYNCHBURG, VA 24504
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CRD#: 2321760
PS
Professional summary
Philip Edward Showalter, AIF®, CLU® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lynchburg, Virginia.
Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Philip has worked at 3 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.
**CAMPBELL INSURANCE, PART OWNER, OFFICER AND BOARD MEMBER OF CAMPBELL INSURANCE WHICH IS A P&C AND GROUP BENEFITS FIRM. I MANAGE THE EMPLOYEE BENEFITS DIVISION, 10/21/11. **OUTSIDE INSURANCE, SELLING INDIVIDUAL AND GROUP HEALTH, FIXED LIFE, DISABILITY, DENTAL AND VISION INSURANCE THROUGH VARIOUS CARRIERS, 10/21/11. **RENTAL PROPERTY; OWNER; 06/29/2016. **WD Campbell & Son Inc. ESOP; Not Investment Related; 801 Main Street, Lynchburg, VA 24504; Trustee; ESOP Trustee, one of three trustees, make decisions concerning the ESOP.; Start Date: 01/01/2010; 1 hrs per month; 1 during trading hours. **SHOWLOVEI POSITION: President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/16/2023 ADDRESS: 2200 Lark Place, Lynchburg VA 24503, United States DESCRIPTION: LLC owns rental property. **SHOWLOVEII POSITION: President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/10/2022 ADDRESS: 2200 Lark Place, Lynchburg VA 24503, United States DESCRIPTION: LLC owns rental property.
CRS (Client Relationship Summary) - RIA
Click below to view Philip Edward Showalter's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Philip Edward Showalter'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®
Experience
Current
April 6, 2005 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 801 Main St Ste 600, Lynchburg, VA 24504RIA
BD
CRD#: 1137
LYNCHBURG, VA
Current
June 23, 2003 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 801 Main St Ste 600, Lynchburg, VA 24504RIA
BD
CRD#: 1137
LYNCHBURG, VA
Past
February 25, 2000 - June 9, 2003
NEW ENGLAND SECURITIES
RIA
CRD#: 615
RICHMOND, VA
Past
January 31, 1997 - June 9, 2003
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
January 22, 1994 - January 13, 1997
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
May 13, 1993 - November 23, 1993
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, 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
Arizona(8/9/2024)
RR
Florida(10/22/2012)
RR
North Carolina(6/9/2014)
RR
Oklahoma(1/18/2019)
RR
Pennsylvania(10/1/2025)
RR
Virginia(6/23/2003)
IAR
Virginia(4/6/2005)
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.
