TP
Themi Pieropoulos
PRINCIPAL SECURITIES
Downers Grove, IL 60515
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CRD#: 2597786
TP
Professional summary
Themi Pieropoulos, AIF®, who also goes by Tim Pieropoulos, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Downers Grove, Illinois.
Themi is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Themi has worked at 10 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Pieropoulos
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; Downers Grove, IL; Agent; Life, Health; Start Date: 10/18/2017; 1 hrs per month; during trading hours..***Rental Property; Not Investment Related; Naperville, IL; Owner; Receives income from rental property; Start Date: 10/01/2017; 4 hrs per month; 0 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Themi Pieropoulos's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Themi Pieropoulos'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
January 15, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3333 Finley Rd Ste 500, Downers Grove, IL 60515RIA
BD
CRD#: 1137
Downers Grove, IL
Current
January 15, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3333 Finley Rd Ste 500, Downers Grove, IL 60515RIA
BD
CRD#: 1137
Downers Grove, IL
Past
January 28, 2010 - August 11, 2011
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
May 18, 2009 - July 31, 2009
ALT FUND DISTRIBUTORS LLC
BD
CRD#: 146547
NEW YORK, NY
Past
February 14, 2008 - August 12, 2008
TEACHERS PERSONAL INVESTORS SERVICES, INC.
BD
CRD#: 36130
CHICAGO, IL
Past
July 6, 2005 - May 5, 2006
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
CHICAGO, IL
Past
July 6, 2005 - May 5, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
November 8, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
CHICAGO, IL
Past
November 8, 2004 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
May 21, 2004 - December 31, 2005
JPMORGAN ASSET MANAGEMENT
RIA
CRD#: 107247
COLUMBUS, OH
Past
December 18, 2003 - November 11, 2004
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
COLUMBUS, OH
Past
January 30, 2001 - February 7, 2003
JPMORGAN DISTRIBUTION SERVICES, INC.
BD
CRD#: 104234
COLUMBUS, OH
Past
February 4, 2000 - December 31, 2000
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
February 1, 1999 - October 7, 1999
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
March 17, 1997 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
BD
CRD#: 17516
CHICAGO, IL
Past
December 19, 1995 - December 9, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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
Florida(1/15/2020)
RR
Illinois(1/15/2013)
IAR
Illinois(1/15/2015)
RR
Indiana(2/2/2018)
RR
Michigan(9/18/2018)
RR
Ohio(9/18/2018)
RR
Wisconsin(11/21/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
