Martin F. Kilian
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Martin F Kilian, who also goes by Martin Francis Kilian, Marty Kilian, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1973. Martin had worked at 13 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 24, 2015 - May 17, 2018
PRINCIPAL SECURITIES, INC.
September 5, 2008 - December 11, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 3, 2003 - September 12, 2008
ALLSTATE FINANCIAL SERVICES, LLC
October 15, 1998 - October 9, 2003
SUNAMERICA SECURITIES, INC.
March 9, 1995 - September 14, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 15, 1994 - March 31, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
March 15, 1994 - March 31, 1995
SIGNATOR INVESTORS, INC.
January 15, 1992 - November 24, 1992
VP DISTRIBUTORS LLC
June 1, 1990 - October 16, 1991
CARILLON INVESTMENTS, INC.
March 25, 1988 - February 24, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 30, 1987 - June 22, 1990
FEDERATION FOR FINANCIAL INDEPENDENCE
April 23, 1986 - April 27, 1987
G. R. PHELPS & CO., INC.
October 8, 1974 - January 24, 1986
G. R. PHELPS & CO., INC.
March 20, 1973 - February 21, 1975
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 20, 1973 - February 21, 1975
OSAIC FA, INC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/15/1973
Registered Representative ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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.
