Robert M. Eberhardt
PRINCIPAL SECURITIES
Oswego, IL
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CRD#: 2479226
Professional summary
Robert Michael Eberhardt, CFP® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Oswego, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Robert has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
**K2K ASSOCIATES. SELLING EMPLOYEE BENEFITS, PROVIDE BUSINESS CONSULTING TO INCLUDE BUSINESS PLANS, COMPENSATION MODELING, SALES AND MARKETING SYSTEMS AND PROVIDE IT CONSULTING SUCH AS PHONE SYSTEMS, COMPUTERS AND CREDIT CARD PROCESSING. EFFECTIVE 02/01/12. **FIXED INSURANCE; INDIVIDUAL/GROUP HEALTH, DI, LTC, STD, LTD, LIFE, ANNUITIES, VISION DENTAL, SUPPLEMENTAL; 08/30/16. **SAFE SELF STORAGE, LLC POSITION: President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/25/2024 ADDRESS: 790 Lancaster Bypass E, Lancaster SC 29720, United States DESCRIPTION: Manage the accounting and marketing for 2 self-storage locations as the owner of these locations.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Michael Eberhardt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Michael Eberhardt'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®
CFP®
Start date: 1998
Experience
Current
January 6, 2012 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Oswego, IL
Current
January 5, 2012 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Oswego, IL
Past
December 16, 2008 - December 15, 2011
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
DOWNERS GROVE, IL
Past
November 20, 2000 - October 15, 2008
FARMERS FINANCIAL SOLUTIONS, LLC
BD
CRD#: 103863
AGOURA HILLS, CA
Past
May 8, 2000 - August 23, 2000
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
LOS ANGELES, CA
Past
October 18, 1999 - April 25, 2000
LASALLE FINANCIAL SERVICES, INC.
BD
CRD#: 20373
CHICAGO, IL
Past
October 21, 1998 - October 28, 1999
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
October 19, 1998 - October 26, 1999
HARRIS INVESTORS DIRECT, INC.
BD
CRD#: 17664
CHICAGO, IL
Past
October 24, 1996 - October 2, 1998
WINGSPAN INVESTMENT SERVICES
BD
CRD#: 17516
CHICAGO, IL
Past
November 17, 1994 - October 4, 1996
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
APPLETON, WI
Past
July 18, 1994 - November 21, 1994
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 18, 1994 - November 21, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Florida(6/27/2022)
RR
Illinois(1/5/2012)
RR
Michigan(9/24/2014)
RR
North Carolina(10/25/2023)
IAR
North Carolina(5/15/2024)
RR
Virginia(4/11/2024)
RR
Wisconsin(2/5/2013)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
