SN
Stephen D. Northington
PRINCIPAL SECURITIES
Atlanta, GA 30339
Some features on this profile are disabled
CRD#: 2355415
SN
Professional summary
Stephen Dale Northington, who also goes by Stephan Dale Northington, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Atlanta, Georgia.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Stephan Dale Northington
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, DISABILITY INSURANCE, MEDICARE SUPPLEMENTS, MEDICARE ADVANTAGE, FINAL EXPENSE INSURANCE, LONG TERM CARE INSURANCE, FIXED/VOLUNTARY GROUP BENEFITS, GROUP HEALTH INSURANCE AND PROPERTY & CASUALTY INSURANCE THROUGH VARIOUS CARRIERS, 11/05/14. **KSA Insurance; Not Investment Related; Atlanta, GA; Agent; Marketing group health benefits, principal securities, principal group benefits, financial plans, annuities, securities.; Start Date: 01/01/2019; 80 hrs per month; 50 during trading hours. **FARM POSITION: Family Farm NATURE: This farm doesn't make any money at this time INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 08/18/2022 ADDRESS: PO Box 574, Abbeville AL 36310, United States DESCRIPTION: Family Farm growing Pecan Trees and Turmeric and in a stucdy with Auburn University & Alabama A&M. **ESTATELY POSITION: Estately NATURE: Attorney/Prepaid Legal INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 06/01/2025 ADDRESS: 2112 PRICHARD PARK DRIVE, Kennesaw GA 30144, United States DESCRIPTION: Estately is a service I would pay an annual subscription for and then I can resell it to clients and prospects. I would NOT be providing ANY legal advice. This is only done through licensed attorneys who are part of estately. The primary service is will preparation, advanced directives, and POA's that are all done online with the client filling out the information. They pay a fee and they get access to estately and the website creates the documents for them.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Dale Northington's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Dale Northington'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
December 16, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3625 Cumberland Blvd Se Ste 1000, Atlanta, GA 30339RIA
BD
CRD#: 1137
Atlanta, GA
Current
November 3, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3625 Cumberland Blvd Se Ste 1000, Atlanta, GA 30339RIA
BD
CRD#: 1137
Atlanta, GA
Past
August 5, 2013 - October 31, 2014
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
Past
August 25, 1993 - February 3, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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(11/3/2014)
RR
Alaska(9/14/2021)
RR
Arizona(2/9/2022)
RR
California(8/19/2019)
RR
Colorado(1/17/2017)
RR
Connecticut(10/30/2023)
RR
Florida(11/3/2014)
RR
Georgia(11/3/2014)
IAR
Georgia(12/16/2015)
RR
Kentucky(8/4/2023)
RR
Maryland(4/28/2021)
RR
Massachusetts(10/7/2021)
RR
Michigan(6/17/2024)
RR
New Jersey(7/20/2023)
RR
New York(7/20/2023)
RR
North Carolina(9/16/2021)
RR
Ohio(9/24/2023)
RR
South Carolina(3/29/2021)
RR
Texas(1/6/2021)
IAR
Texas(6/16/2021)
RR
Virginia(4/19/2022)
RR
Washington(7/20/2021)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
