TM
Tami L. Mendell
PRINCIPAL SECURITIES
OMAHA, NE 68144
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CRD#: 2479621
TM
Professional summary
Tami Lee Mendell, who also goes by Tami Lee Ruth, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Omaha, Nebraska.
Tami is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Tami has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tami Lee Ruth
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.
**FIXED INSURANCE POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 06/16/2024 ADDRESS: 11205 Wright Circle, Suite 130, Omaha NE 68144, United States DESCRIPTION: Fixed Insurance: Life, Disability, Annuities, Long-Term Care, Health, Medicare Supplements, Group Benefits. **HUMBL ROOTS POSITION: Kitchen Staff NATURE: Kitchen staff for Pasta Sauce Company INVESTMENT RELATED: No NUMBER OF HOURS: 36 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2024 ADDRESS: 1001 S 6th St., Council Bluffs IA 51503, United States DESCRIPTION: Kitchen staff, produce carrot-based pasta sauce in a commercial kitchen. This is non-investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Tami Lee Mendell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tami Lee Mendell'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
June 11, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11205 Wright Cir Ste 130, Omaha, NE 68144RIA
BD
CRD#: 1137
OMAHA, NE
Current
June 11, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11205 Wright Cir Ste 130, Omaha, NE 68144RIA
BD
CRD#: 1137
OMAHA, NE
Past
March 21, 2024 - June 7, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
OMAHA, NE
Past
December 20, 2018 - March 21, 2024
CETERA ADVISORS LLC
RIA
CRD#: 10299
OMAHA, NE
Past
December 19, 2018 - June 7, 2024
CETERA ADVISORS LLC
BD
CRD#: 10299
OMAHA, NE
Past
October 27, 2014 - December 18, 2018
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
OMAHA, NE
Past
October 23, 2014 - December 18, 2018
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
OMAHA, NE
Past
July 18, 2011 - October 24, 2014
OSAIC SERVICES, INC.
RIA
CRD#: 133763
OMAHA, NE
Past
July 5, 2011 - October 24, 2014
OSAIC SERVICES, INC.
BD
CRD#: 133763
OMAHA, NE
Past
June 7, 2000 - July 8, 2011
SPECTRUM CAPITAL, LLC
RIA
CRD#: 28303
OMAHA, NE
Past
September 30, 1996 - July 8, 2011
SPECTRUM CAPITAL, LLC
BD
CRD#: 28303
OMAHA, NE
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
Alabama(6/11/2024)
RR
Colorado(6/11/2024)
RR
Iowa(6/11/2024)
RR
Kansas(6/11/2024)
RR
Michigan(6/11/2024)
RR
Missouri(6/11/2024)
RR
Nebraska(6/11/2024)
IAR
Nebraska(6/11/2024)
RR
New Mexico(6/11/2024)
RR
New York(6/11/2024)
RR
South Dakota(6/11/2024)
Exams
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Omaha, NE 68144TRUST BUT VERIFY
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