CP
Charles M. Pires
PRINCIPAL SECURITIES
Berwyn, PA 19312
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CRD#: 2339040
CP
Professional summary
Charles Michael Pires is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Berwyn, Pennsylvania.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Charles has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 10 and Series 9 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.
***Fixed Insurance; Investment Related; King of Prussia, PA; Broker; Fixed Life, DI, Health, LTC, Annuities; Start Date: 08/01/2020; 5 hrs per month; 5 during trading hours. ***Fixed Insurance; Investment Related; King of Prussia, PA; Broker; Group benefits: Medical, Life, DI, Dental; Start Date: 07/01/2020; 120 hrs per month; 120 during trading hours. ***CPMP PROPERTIES ONE, LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2019 ADDRESS: 26 B 80th Street, Sea Isle City NJ 08243, United States DESCRIPTION: Beach House for rental. ***QUAD TRINITY, LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2019 ADDRESS: 2822 W. Vina Del Mar Blvd, St. Pete Beach FL 33701, United States DESCRIPTION: Rental Property. ***AVALON AUTOMATION POSITION: Member NATURE: Amazon Seller INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2025 ADDRESS: 542 Red Coat Lane, Phoenixville PA 19460, United States DESCRIPTION: Sell compliant Amazon products on Amazon. My responsibility to make payment for the purchase of product. Rest is handled via Amazon.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Michael Pires's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Charles Michael Pires'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
August 31, 2005 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 400 Berwyn Office Park Ste 200 899 Cassatt Rd, Berwyn, PA 19312RIA
BD
CRD#: 1137
Berwyn, PA
Current
February 18, 2005 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 400 Berwyn Office Park Ste 200 899 Cassatt Rd, Berwyn, PA 19312RIA
BD
CRD#: 1137
Berwyn, PA
Past
September 20, 2002 - December 15, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
MALVERN, PA
Past
September 10, 2002 - December 15, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
May 22, 1997 - September 12, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 28, 1994 - April 23, 1997
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Past
March 4, 1994 - September 15, 1994
L.C. WEGARD & CO., INC.
BD
CRD#: 3722
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
Delaware(2/25/2005)
RR
New Jersey(2/23/2005)
RR
Pennsylvania(2/22/2005)
IAR
Pennsylvania(8/31/2005)
RR
Virginia(3/10/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
