DB
David M. Bellia
PRINCIPAL SECURITIES
WAKE FOREST, NC
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CRD#: 2594455
DB
Professional summary
David M Bellia, who also goes by David Michael Bellia, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wake Forest, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. David has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 56 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Michael Bellia
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; Investment Related; Raleigh, NC; Agent; Life, Annuities, DI, LTC, Health, Group Benefits; Start Date: 09/16/2020; 10 hrs per month; 3 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view David M Bellia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David M Bellia'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
September 30, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
WAKE FOREST, NC
Current
September 23, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4141 Parklake Ave Ste 450, Raleigh, NC 27612RIA
BD
CRD#: 1137
Raleigh, NC
Past
April 9, 2014 - September 24, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
RALEIGH, NC
Past
March 21, 2014 - September 24, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
RALEIGH, NC
Past
June 4, 2013 - February 14, 2014
T3 TRADING GROUP, LLC
BD
CRD#: 154431
NEW YORK, NY
Past
April 11, 1997 - May 8, 1997
FIRST COLONIAL SECURITIES
BD
CRD#: 25121
BOCA RATON, FL
Past
August 20, 1996 - January 21, 1997
FIRST NATIONAL EQUITY, CORP.
BD
CRD#: 36094
PT. PLEASANT BEACH, NJ
Past
November 9, 1995 - October 11, 1996
T.L. GROUP, INC.
BD
CRD#: 22097
FORT WORTH, TX
Past
March 28, 1995 - August 9, 1995
CORTLANDT CAPITAL CORPORATION
BD
CRD#: 25152
NEW YORK CITY, 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
District of Columbia(6/12/2024)
RR
Florida(9/24/2020)
RR
Maine(12/6/2022)
RR
Maryland(4/3/2025)
RR
Missouri(11/4/2020)
RR
New York(10/3/2020)
RR
North Carolina(9/28/2020)
IAR
North Carolina(9/30/2020)
RR
South Carolina(12/6/2021)
RR
Tennessee(1/24/2022)
RR
Virginia(7/28/2022)
RR
Wisconsin(3/13/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 56
Date: 6/3/2013
Proprietary Trader Qualification ExaminationSRO 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.
