KU
Kevin L. Ullery
PRINCIPAL SECURITIES
CARTERSVILLE, GA
Some features on this profile are disabled
CRD#: 2768864
KU
Professional summary
Kevin L Ullery, who also goes by Kevin Lee Ullery, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Cartersville, Georgia.
Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Kevin has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin Lee Ullery
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.
**KEVIN L. ULLERY POSITION: Delivery Driver NATURE: Delivering goods INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/13/2022 ADDRESS: 31 Ridgeline Way NW, Cartersville GA 30121, United States DESCRIPTION: Spark Delivery Driver - The role is to deliver products from stores to retail customers. **KEVIN L. ULLERY POSITION: Uber - Driver NATURE: Delivery Driver INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 02/10/2023 ADDRESS: 31 Ridgeline Way NW, Cartersville GA 30121, United States DESCRIPTION: I will be acting a courier for items and potentially providing rides to individuals for payment. **KEVIN L. ULLERY POSITION: Mystery Shopper NATURE: Mystery Shopping INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2014 ADDRESS: 31 Ridgeline Way NW, Cartersville GA 30121, United States DESCRIPTION: I work as an independent contractor associated with 15+ different mystery shopping companies doing evaluations. I am able to work on my own time and receive compensation in the form of fees, reimbursements or a combination of the two. **SELF POSITION: Investment Property NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2025 ADDRESS: 1625 Brent Terr, The Villages FL 32764, United States DESCRIPTION: Investment property for short term rentals in The Villages, Florida.
CRS (Client Relationship Summary) - RIA
Click below to view Kevin L Ullery's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kevin L Ullery'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
October 4, 2021 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
CARTERSVILLE, GA
Current
September 30, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
February 18, 2021 - August 30, 2021
PACIFIC SELECT DISTRIBUTORS, LLC
BD
CRD#: 4452
NEWPORT BEACH, CA
Past
August 22, 2014 - February 19, 2021
USA FINANCIAL SECURITIES LLC
RIA
CRD#: 103857
ADA, MI
Past
August 22, 2014 - February 19, 2021
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
ADA, MI
Past
March 11, 2011 - August 15, 2014
GWN SECURITIES INC.
RIA
CRD#: 128929
GRAND RAPIDS, MI
Past
July 30, 2010 - August 15, 2014
GWN SECURITIES INC.
BD
CRD#: 128929
GRAND RAPIDS, MI
Past
January 14, 2005 - August 2, 2010
LINCOLN INVESTMENT
BD
CRD#: 519
GRAND RAPIDS, MI
Past
July 30, 1996 - January 28, 2005
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
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(9/30/2021)
RR
Georgia(1/25/2024)
IAR
Georgia(1/29/2024)
RR
Iowa(9/30/2021)
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.
