AH
Ann L. Hudson
PRINCIPAL SECURITIES
Des Moines, IA 50312
Some features on this profile are disabled
CRD#: 2475676
AH
Professional summary
Ann Louise Hudson, who also goes by Ann Hudson, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Ann is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Ann has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ann Hudson
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.
**YMCA OF GREATER DES MOINES, FITNESS INSTRUCTOR & TRAINER, 11/8/13. **NAIFA IA POSITION: Vice President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/03/2022 ADDRESS: 6701 Westown Parkway Ste 200, West Des Moines IA 50266, United States DESCRIPTION: I will be serving as a member of the board for the Iowa Chapter of the industry association, NAIFA. I will be starting officially January 2022. **JESSE J. SANCTUARY FOUNDATION POSITION: Managing Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2022 ADDRESS: 801 Grand Ave Suite 3700, Des Moines IA 50309, United States DESCRIPTION: I am helping a friend start a not-for-profit in honor of her daughter-in-law. It is the Jesse J. Sanctuary Foundation. Articles of Incorporation have just been filed with the state of Iowa this month and we are awaiting approval. It is a charitable 501(c)(3) organization. **FIXED INSURANCE POSITION: Director of Operations - Client Partner/Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 06/01/2025 ADDRESS: 4019 Ingersoll Ave, Des Moines IA 50312, United States DESCRIPTION: I will be selling fixed insurance products from product sponsors outside of Principal including, LTC, health insurance, group benefits, fixed life, disability, fixed annuities, Medicare supplements **SMITH + CO FINANCIAL (DBA) POSITION: Director of Operations - Client Partner/Advisor NATURE: DI/A&H Insurance, Financial Strategies/Needs Analysis, Group/Health Insurance, Life Insurance/Annuities, Mutual funds/Securities/VA/VL, Seminars/Educational Workshops INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2025 ADDRESS: 4019 Ingersoll Ave, Des Moines IA 50312, United States DESCRIPTION: DBA marketing name **SMITH + CO FINANCIAL POSITION: Director of Operations - Client Partner/Advisor NATURE: Director of operations for Smith + Co Financial. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 06/01/2025 ADDRESS: 4019 Ingersoll Ave, Des Moines IA 50312, United States DESCRIPTION: I will oversee the daily operations of Jenny Smith's team, ensuring all team members stay aligned with client activities on a daily and weekly basis. I'll maintain clear communication with clients regarding the status of their new account opening, conduct regular reviews, proactively reach out to clients, and address any customer service issues that arise.
CRS (Client Relationship Summary) - RIA
Click below to view Ann Louise Hudson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ann Louise Hudson'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
October 9, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4019 Ingersoll Ave, Des Moines, IA 50312RIA
BD
CRD#: 1137
Des Moines, IA
Current
October 8, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4019 Ingersoll Ave, Des Moines, IA 50312RIA
BD
CRD#: 1137
Des Moines, IA
Past
November 3, 2011 - September 30, 2013
INTEGRITY ALLIANCE, LLC.
RIA
CRD#: 139627
PANORA, IA
Past
November 3, 2011 - September 30, 2013
INTEGRITY ALLIANCE, LLC.
BD
CRD#: 139627
PANORA, IA
Past
January 19, 2007 - October 28, 2011
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
Past
April 11, 2003 - October 28, 2011
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
February 1, 2001 - October 28, 2011
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
July 8, 1995 - October 31, 2000
LOCUST STREET SECURITIES, INC.
BD
CRD#: 1703
DES MOINES, IA
Past
July 27, 1994 - June 20, 1995
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
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
Arkansas(6/7/2021)
RR
Colorado(10/9/2013)
RR
Florida(6/7/2021)
RR
Iowa(10/8/2013)
IAR
Iowa(3/31/2014)
RR
Nebraska(6/7/2021)
RR
South Dakota(6/7/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
