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Bernadina V. Williams
PRINCIPAL SECURITIES
Ocala, FL 34471
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CRD#: 2671609
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Professional summary
Bernadina Vankempen Williams, who also goes by Diana Williams, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Ocala, Florida.
Bernadina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Bernadina has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diana Williams
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.
**Rental Property; Not Investment Related; Owner; Start Date; na hrs per month; during trading hours. **Outside Insurance; Investment Related; Group Life & Annuities, LTC, DI, Individual & Group Benefits, Health; Start Date: na hrs per month; during trading hours. **BALLS 14 LLC; Not Investment Related; 1330 SE 15th Ave, Ocala, FL 34471; Owner; LLC owns rental properties in Marion County, FL; Start Date: 01/01/2014; 3 hrs per month; 0 during trading hours. **North Central Florida Clarinet Choir; Not Investment Related; 3330 SE 15th Avenue, Ocala, FL 3471; Board Secretary; Prepare meeting minutes from board meetings; Start Date: 06/23/2018; 1 hrs per month; 0 during trading hours. **Marion County Democratic Executive Committee; Not Investment Related; Ocala, FL; Committee Chair; Prepare agendas and manage volunteers.; Start Date: 01/01/2021; 5 hrs per month; 0 during trading hours. **River Grove Inc; Not Investment Related; Ocala, FL; Director; Business is combination of orange grove and sand mine. Attend director meetings to stay informed of progress of the business. Unpaid director position although income may be paid to trust depending on the profitability of the business.; Start Date: 04/10/2017; 1 hrs per month; 0 during trading hours. **SALVATION ARMY POSITION: Board Member Advisory NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2019 ADDRESS: 330 N. Magnolia, Ocala FL 34470, United States DESCRIPTION: Attend board advisory meetings to provide advocacy for less advantaged population in the community including the homeless. No check writing, no bank control, no investment decisions, recruitment of board members. Adding secretary duties. **NAMI OF MARION COUNTY INC. POSITION: Secretary NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/20/2024 ADDRESS: PO Box 5753, Ocala FL 34478, United States DESCRIPTION: Board of Directors Secretary. Primary responsibility is advocacy of mental health issues. **UNITED WAY OF MARION COUNTY POSITION: Board member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/03/2025 ADDRESS: 1401 NE 2nd Street, Ocala FL 34470, United States DESCRIPTION: The local United Way Board focuses on three main areas: education, family financial stability and health. Do fund raising projects (e.g. Children's Charity Classic) and provide oversight for the non-profits they support. I am a board member, we meet once per month, and a key responsibility is to assist with fund raising. I have no investment oversight/input and no check writing responsibilities.
CRS (Client Relationship Summary) - RIA
Click below to view Bernadina Vankempen Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bernadina Vankempen Williams'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
December 9, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 50 Se 16th Ave, Ocala, FL 34471RIA
BD
CRD#: 1137
Ocala, FL
Current
December 6, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 50 Se 16th Ave, Ocala, FL 34471RIA
BD
CRD#: 1137
Ocala, FL
Past
December 9, 2002 - December 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
OCALA, FL
Past
November 29, 2002 - December 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
OCALA, FL
Past
November 30, 1995 - December 4, 2002
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
OCALA, FL
Past
November 24, 1995 - December 4, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, 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(12/6/2013)
IAR
Florida(12/9/2013)
RR
Georgia(12/17/2013)
RR
Massachusetts(4/10/2014)
RR
Mississippi(2/16/2017)
RR
North Carolina(6/21/2018)
RR
Ohio(9/28/2018)
RR
Virginia(8/22/2024)
RR
Washington(7/5/2023)
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Ocala, FL 34471TRUST BUT VERIFY
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