Paul A. Koessler
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.
Paul Andrew Koessler was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1997. Paul had worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2014 - April 21, 2016
PRINCIPAL SECURITIES, INC.
January 15, 2014 - April 21, 2016
PRINCIPAL SECURITIES, INC.
October 16, 2012 - December 18, 2013
KEY INVESTMENT SERVICES LLC
October 16, 2012 - December 18, 2013
KEY INVESTMENT SERVICES LLC
July 1, 2011 - October 19, 2012
INTEGRITY ALLIANCE, LLC.
July 1, 2011 - October 19, 2012
INTEGRITY ALLIANCE, LLC.
September 27, 2007 - July 28, 2011
GROVE POINT INVESTMENTS, LLC
September 27, 2007 - July 28, 2011
GROVE POINT INVESTMENTS, LLC
July 18, 2007 - October 1, 2007
CETERA ADVISORS LLC
July 18, 2007 - October 1, 2007
CETERA ADVISORS LLC
April 12, 2005 - July 18, 2007
LEGACY ADVISORY SERVICES, INC.
December 17, 2004 - July 18, 2007
LEGACY FINANCIAL SERVICES, INC.
September 9, 2004 - December 31, 2004
VOYA FINANCIAL ADVISORS, INC.
June 7, 2002 - August 31, 2004
U.S. BANCORP INVESTMENTS, INC.
June 7, 2001 - February 14, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 15, 1999 - August 24, 1999
EDWARD JONES
June 1, 1999 - July 26, 1999
TALBOT FINANCIAL SERVICES, INC.
April 6, 1998 - June 1, 1999
SIGNATOR FINANCIAL SERVICES, INC.
March 17, 1997 - April 1, 1998
MML INVESTORS SERVICES, LLC
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
Current 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.
