DT
Donna L. Tilden
PRINCIPAL SECURITIES
Overland Park, KS 66210
Some features on this profile are disabled
CRD#: 2496578
DT
Professional summary
Donna Lynn Tilden, AIF®, ChFC®, who also goes by Donna Lynn Braathen, Donna Lynn Little, Donna Lynn Stine, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Overland Park, Kansas.
Donna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Donna has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Donna Lynn Braathen | Donna Lynn Little | Donna Lynn Stine
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.
**Next Step KC, Work in low income clients by preparing personal income tax returns, 9/11/15. ***Business West; Not Investment Related; Kansas City, KS; Past President; ; Start Date: 11/18/2020; 5 hrs per month; 5 during trading hours. ***Fixed Insurance; Investment Related; Overland Park, KS; Agent; Fixed Life, Annuity, LTC, DI, Medicare Supplements, Group Health, Individual Health; Start Date: 03/09/2016; 60 hrs per month; 60 during trading hours. BUSINESS WEST POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2023 ADDRESS: PO Box 12905, Kansas City KS 66112, United States DESCRIPTION: As a board member I'll be responsible to attend board meetings and general membership meetings.
CRS (Client Relationship Summary) - RIA
Click below to view Donna Lynn Tilden's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Donna Lynn Tilden'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®
Experience
Current
September 10, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11101 Switzer Rd Ste 100, Overland Park, KS 66210RIA
BD
CRD#: 1137
Overland Park, KS
Current
August 31, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11101 Switzer Rd Ste 100, Overland Park, KS 66210RIA
BD
CRD#: 1137
Overland Park, KS
Past
September 20, 2012 - August 25, 2015
WADDELL & REED
RIA
CRD#: 866
LEAWOOD, KS
Past
September 20, 2012 - August 25, 2015
WADDELL & REED
BD
CRD#: 866
LEAWOOD, KS
Past
March 17, 2006 - September 10, 2012
AMERICAN CENTURY ADVISORY SERVICES, INC.
RIA
CRD#: 121974
KANSAS CITY, MO
Past
January 11, 2005 - September 10, 2012
AMERICAN CENTURY INVESTMENT SERVICES INC.
BD
CRD#: 17437
KANSAS CITY, MO
Past
August 26, 2003 - April 30, 2004
COUNTRY CLUB FINANCIAL SERVICES, LLC
RIA
CRD#: 29807
SHAWNEE MISSION, KS
Past
September 24, 2002 - April 30, 2004
COUNTRY CLUB FINANCIAL SERVICES, LLC
BD
CRD#: 29807
KANSAS CITY, MO
Past
December 1, 2000 - February 25, 2003
CARSON FINANCIAL PLANNING GROUP
RIA
CRD#: 117965
OVERLAND PARK, KS
Past
May 19, 2000 - August 28, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
September 21, 1999 - May 18, 2000
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
September 21, 1999 - May 18, 2000
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
January 3, 1997 - September 16, 1999
ONE ORCHARD EQUITIES, INC.
BD
CRD#: 42124
GREENWOOD VILLAGE, CO
Past
August 8, 1994 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
BD
CRD#: 5927
ENGLEWOOD, CO
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
Arizona(8/12/2019)
RR
California(8/31/2015)
RR
Colorado(1/19/2020)
RR
Florida(7/29/2020)
RR
Indiana(6/14/2024)
RR
Kansas(8/31/2015)
IAR
Kansas(9/10/2015)
RR
Michigan(8/26/2020)
RR
Minnesota(1/18/2019)
RR
Missouri(8/31/2015)
RR
Nevada(7/29/2020)
RR
New Mexico(10/24/2018)
RR
New York(10/10/2023)
RR
Oklahoma(2/4/2020)
RR
Pennsylvania(7/29/2020)
RR
South Carolina(7/29/2020)
RR
Tennessee(6/8/2023)
RR
Texas(1/19/2020)
IAR
Texas(6/17/2021)
RR
Wyoming(10/15/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
