CG
Cindy L. Giacometto
PRINCIPAL SECURITIES
Belle Fourche, SD 57717
Some features on this profile are disabled
CRD#: 2672404
CG
Professional summary
Cindy Lee Giacometto, who also goes by Cindy Lee Goeringer, Cindy Goeringer, Cindy Lee Simmons, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Belle Fourche, South Dakota.
Cindy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Cindy has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cindy Lee Goeringer | Cindy Goeringer | Cindy Lee Simmons
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.
INSURANCE POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/30/2022 ADDRESS: 519 State St, Belle Fourche SD 57717, United States DESCRIPTION: Sell outside life insurance, disability income insurance, LTC, fixed annuities, Individual and group health insurance/medical. RENTAL PROPERTY POSITION: Rental Property NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 ADDRESS: 519 1/2 State St, Belle Fourche SD 57717, United States DESCRIPTION: This is a business that rents from me. The business is called Hitching Post in Belle Fourche. TCLG PROPERTIES POSITION: TCLG Properties NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2012 ADDRESS: 824 Park dr, Belle Fourche SD 57717, United States DESCRIPTION: This was set up to receive payroll only. There are no properties in this S corp. The name implies properties but only holds cash assets.
CRS (Client Relationship Summary) - RIA
Click below to view Cindy Lee Giacometto's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cindy Lee Giacometto'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
April 20, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 519 State St, Belle Fourche, SD 57717RIA
BD
CRD#: 1137
Belle Fourche, SD
Current
April 1, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 519 State St, Belle Fourche, SD 57717RIA
BD
CRD#: 1137
Belle Fourche, SD
Past
July 21, 2021 - April 13, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
BELLE FOURCHE, SD
Past
July 21, 2021 - April 13, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
BELLE FOURCHE, SD
Past
May 19, 1997 - July 21, 2021
WADDELL & REED
RIA
CRD#: 866
BELLE FOURCHE, SD
Past
November 6, 1995 - July 21, 2021
WADDELL & REED
BD
CRD#: 866
BELLE FOURCHE, SD
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(4/1/2022)
RR
Colorado(4/5/2024)
RR
Montana(4/1/2022)
RR
Nevada(4/1/2022)
RR
North Dakota(10/3/2022)
RR
South Dakota(4/1/2022)
IAR
South Dakota(4/20/2022)
RR
Texas(4/1/2022)
IAR
Texas(10/24/2022)
RR
Wyoming(4/1/2022)
Exams
State Security Law Exam
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.
