KL
Karl T. Lunney
PRINCIPAL SECURITIES
TAMPA, FL 33607
Some features on this profile are disabled
CRD#: 2653002
KL
Professional summary
Karl Tariq Lunney, who also goes by Karl Taria Lunney, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Tampa, Florida.
Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Karl has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karl Taria Lunney
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.
**Citilofts of 5th Ave HOA, President, 7/22/16. **Citilofts 5th Ave, Rental income from renting prior home, 09/18/17. **360 Wealth & Benefits, Inc.; Not Investment Related; 4010 W Boy Scout Blvd, Ste 700, Tampa, FL 33607; Owner; 50% owner with Keith Groesbeck; Start Date: 05/29/2018; 0 hrs per month; 0 during trading hours. **Fixed Insurance; Investment Related; 4010 W Boy Scout Blvd, Ste 700, Tampa, FL 33607; Life, Annuities, LTD, STD, Health, Dental, Vision, Group Benefits; Sales; Start Date: 05/29/2018; 160 hrs per month; 160 during trading hours. **SOUTH TAMPA FELLOWSHIP POSITION: Mission Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 07/01/2022 ADDRESS: 5101 Bayshore Blvd, Tampa FL 33611, United States DESCRIPTION: I am a board member that helps coordinate charitable mission trips to affected local and international areas. **360 WEALTH, LLC POSITION: Managing Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 13507 Westshire Drive, Tampa FL 33618, United States DESCRIPTION: 360 Wealth LLC is 50% owner of 360 Wealth & Benefits LLC - our official DBA for our company. This LLC was created for tax reasons per my accountant. I do no marketing or business with this name. This was only for tax planning and personal protection reasons. **TREVI HOME OWNERS ASSOCIATION POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 13507 Westshire Drive, Tampa FL 33618, United States DESCRIPTION: I am the president of my HOA. This involved an annual homeowners meeting discussing our overall financial health and any concern from the homeowners. We do have periodic meetings amongst other board members. **RENTAL PROPERTY POSITION: Owns condo, earns income on rent NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 02/25/2014 ADDRESS: 13507 Westshire Drive, TAMPA FL 33618, United States DESCRIPTION: Co-Owner of a Condo that is rented out.
CRS (Client Relationship Summary) - RIA
Click below to view Karl Tariq Lunney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karl Tariq Lunney'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
February 27, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2203 N Lois Ave Ste 750, Tampa, FL 33607RIA
BD
CRD#: 1137
TAMPA, FL
Current
February 18, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2203 N Lois Ave Ste 750, Tampa, FL 33607RIA
BD
CRD#: 1137
TAMPA, FL
Past
April 6, 1998 - February 24, 2014
NEW ENGLAND SECURITIES
RIA
CRD#: 615
TAMPA, FL
Past
April 6, 1998 - February 24, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
TAMPA, FL
Past
January 21, 1997 - April 2, 1998
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
January 21, 1997 - April 2, 1998
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
December 18, 1995 - December 19, 1996
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
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
Alabama(9/9/2022)
RR
Arizona(3/29/2016)
RR
California(2/18/2014)
RR
Connecticut(2/18/2014)
RR
Florida(2/18/2014)
IAR
Florida(2/27/2014)
RR
Georgia(8/24/2018)
RR
Illinois(2/18/2014)
RR
Massachusetts(3/25/2014)
RR
Missouri(5/2/2025)
RR
New Jersey(2/26/2014)
RR
North Carolina(2/25/2014)
RR
Oklahoma(4/21/2022)
RR
Oregon(8/29/2024)
RR
Texas(7/18/2023)
RR
Vermont(10/12/2020)
RR
Virginia(2/18/2014)
Exams
State Security Law 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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Tampa, FL 33607TRUST BUT VERIFY
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