Alireza Heydari
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.
Alireza Heydari, who also goes by Ali Heydari, was a registered financial professional .
Alireza is a previously registered financial professional and started their career in finance in 1994. Alireza had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2020 - December 31, 2020
PRINCIPAL SECURITIES, INC.
January 4, 2019 - December 18, 2019
OSAIC FS, INC.
November 1, 2016 - March 17, 2017
OSAIC FS, INC.
March 9, 2016 - October 4, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 18, 2015 - December 8, 2015
MML INVESTORS SERVICES, LLC
July 25, 2012 - December 31, 2014
PRINCIPAL SECURITIES, INC.
August 1, 2008 - November 18, 2011
NATIONWIDE SECURITIES, LLC
September 24, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
October 13, 2005 - August 8, 2007
SIGNATOR FINANCIAL SERVICES, INC.
January 2, 2004 - October 18, 2005
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 20, 1997 - December 31, 2003
PRINCIPAL SECURITIES, INC.
March 22, 1996 - December 31, 1996
SECURITIES MANAGEMENT & RESEARCH, INC.
November 15, 1994 - December 31, 1995
SECURITIES MANAGEMENT & RESEARCH, INC.
March 7, 1994 - November 14, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 7, 1994 - November 14, 1994
OSAIC FA, 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.
