Douglas K. Mcdaniel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Douglas Krug Mcdaniel, who also goes by Doug Mcdaniel, was a registered financial professional .
Douglas is a previously registered financial professional and started their career in finance in 1994. Douglas had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2018 - March 25, 2019
PRINCIPAL SECURITIES, INC.
November 16, 2018 - March 25, 2019
PRINCIPAL SECURITIES, INC.
June 28, 2017 - November 21, 2018
NYLIFE SECURITIES LLC
October 13, 2014 - May 12, 2016
RIDGEWAY & CONGER, INC.
August 21, 2014 - December 31, 2014
RIDGEWAY CONGER ADVISORY SERVICES
July 29, 2014 - May 12, 2016
ADIRONDACK TRADING GROUP LLC
July 6, 2012 - August 14, 2014
ARQUE CAPITAL, LTD.
July 5, 2012 - August 14, 2014
ARQUE CAPITAL, LTD.
March 19, 2010 - July 3, 2012
U.S. BANCORP ADVISORS, LLC
March 19, 2010 - July 3, 2012
U.S. BANCORP ADVISORS, LLC
June 4, 2007 - March 19, 2010
WELLS FARGO INVESTMENTS, LLC
June 1, 2007 - March 19, 2010
WELLS FARGO INVESTMENTS, LLC
June 2, 2004 - June 7, 2007
CUSO FINANCIAL SERVICES, L.P.
September 18, 2003 - June 7, 2007
CUSO FINANCIAL SERVICES, L.P.
November 13, 2000 - September 25, 2001
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 1, 1999 - August 19, 1999
BROWNCO, LLC
August 20, 1996 - June 25, 1997
BROWNCO, LLC
June 2, 1994 - August 7, 1996
TITAN/VALUE EQUITIES GROUP, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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.
