Troy M. Axelson
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.
Troy Malon Axelson, CFP®, who also goes by Troy Axelson, was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1993. Troy had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
December 20, 2024 - August 10, 2026
PRINCIPAL SECURITIES, INC.
December 20, 2024 - August 10, 2026
PRINCIPAL SECURITIES, INC.
September 1, 2023 - December 7, 2023
OSAIC WEALTH, INC.
September 1, 2023 - December 7, 2023
OSAIC WEALTH, INC.
January 25, 2017 - September 1, 2023
OSAIC SERVICES, INC.
January 25, 2017 - September 1, 2023
OSAIC SERVICES, INC.
March 9, 2010 - January 10, 2017
COREBRIDGE CAPITAL SERVICES, INC.
June 26, 2009 - March 11, 2010
VALIC FINANCIAL ADVISORS, INC.
May 28, 2009 - March 11, 2010
VALIC FINANCIAL ADVISORS, INC.
August 21, 2008 - April 23, 2009
COREBRIDGE CAPITAL SERVICES, INC.
November 14, 2006 - August 21, 2008
AMERITAS INVESTMENT COMPANY, LLC
November 7, 2002 - November 15, 2006
LPL FINANCIAL LLC
November 24, 1999 - November 7, 2002
CUNA BROKERAGE SERVICES, INC.
October 7, 1998 - September 3, 1999
PRUCO SECURITIES, LLC.
August 25, 1994 - April 26, 1996
D.E. FREY & COMPANY, INC.
March 21, 1994 - August 26, 1994
FAIRCHILD FINANCIAL GROUP, INC.
February 16, 1994 - March 7, 1994
SPENCER EDWARDS, INC.
December 13, 1993 - January 7, 1994
CHURCHILL SECURITIES, 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 |
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.
