Dawn A. Spaulding

PRINCIPAL SECURITIES

Saint Cloud, FL

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CRD#: 2766240

Professional summary

Dawn Aglae Spaulding, who also goes by Dawn Agiae Marci, Dawn A Spalding, Dawn Agiae Spaulding, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Saint Cloud, Florida.

Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Dawn has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51, Series 24, Series 9 and Series 10 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dawn Agiae Marci | Dawn A Spalding | Dawn Agiae Spaulding

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Aglae Spaulding's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Dawn Aglae Spaulding's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 18, 2015 - Present

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Saint Cloud, FL

Current

September 3, 2015 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392

RIA

CRD#: 1137

DES MOINES, IA

Past

January 22, 2010 - July 28, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

ORLANDO, FL

Past

January 19, 2010 - July 28, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ORLANDO, FL

Past

May 23, 2008 - March 16, 2009

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

ALTAMONTE SPRINGS, FL

Past

October 4, 1996 - March 16, 2009

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

ALTAMONTE SPRINGS, FL

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)

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.

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

Alabama
(5/23/2023)

Alaska
(5/23/2023)

Arizona
(5/23/2023)

Arkansas
(5/23/2023)

California
(5/23/2023)

Colorado
(5/23/2023)

Connecticut
(5/23/2023)

Delaware
(5/23/2023)

District of Columbia
(5/23/2023)

Florida
(9/3/2015)

IAR

Florida
(9/18/2015)

Georgia
(5/23/2023)

Hawaii
(5/23/2023)

Idaho
(5/23/2023)

Illinois
(5/23/2023)

Indiana
(5/23/2023)

Iowa
(5/23/2023)

Kansas
(5/23/2023)

Kentucky
(5/23/2023)

Louisiana
(5/23/2023)

Maine
(5/23/2023)

Maryland
(5/23/2023)

Massachusetts
(5/23/2023)

Michigan
(5/23/2023)

Minnesota
(5/23/2023)

Mississippi
(5/23/2023)

Missouri
(5/23/2023)

Montana
(5/23/2023)

Nebraska
(5/23/2023)

Nevada
(5/23/2023)

New Hampshire
(5/23/2023)

New Jersey
(5/23/2023)

New Mexico
(5/23/2023)

New York
(5/23/2023)

North Carolina
(5/23/2023)

North Dakota
(5/23/2023)

Ohio
(5/24/2023)

Oklahoma
(5/23/2023)

Oregon
(5/23/2023)

Pennsylvania
(5/23/2023)

Rhode Island
(5/23/2023)

South Carolina
(5/23/2023)

South Dakota
(5/23/2023)

Texas
(5/23/2023)

IAR

Texas
(5/24/2023)

Utah
(5/23/2023)

Vermont
(5/23/2023)

Virginia
(5/23/2023)

Washington
(5/23/2023)

West Virginia
(5/23/2023)

Wisconsin
(5/23/2023)

Wyoming
(5/23/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/26/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 1/4/2019

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/2018

General Securities Principal Examination

Principal/Supervisory Exam

Series 9

Date: 9/18/2000

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 9/5/2000

General Securities Sales Supervisor - General Module Examination

SRO Registrations

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (1/2/2026)

RETIREMENT PLAN CONSULTING (1/2/2026)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (1/2/2026)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (1/2/2026)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/22/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Dawn A. Spaulding

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dawn Aglae Spaulding's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Dawn Aglae Spaulding's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/26/2008

Series 63

Date: 10/30/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/3/1996

Series 51

Date: 1/4/2019

Series 24

Date: 6/25/2018

Series 9

Date: 9/18/2000

Series 10

Date: 9/5/2000

FINRA

Current Firm

PRINCIPAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL SECURITIES, INC.

TRUST BUT VERIFY

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