PK
Pamela S. Kenaston
PRINCIPAL SECURITIES
LINCOLN, NE
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CRD#: 2869716
PK
Professional summary
Pamela Sue Kenaston, who also goes by Pamela Sue Frank, Pam Frank, Pam Kenaston, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lincoln, Nebraska.
Pamela is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Pamela has worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Pamela Sue Frank | Pam Frank | Pam Kenaston
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.
Norwex, 5220 NW 10th St, Lincoln, NE, non-inv rel, multi-level sales company for cleaning and personal care products, Independent Consultant; start date=05/2017; hrs/mo=1; trading hrs/mo=0; support for customer questions, sell product
CRS (Client Relationship Summary) - RIA
Click below to view Pamela Sue Kenaston's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Pamela Sue Kenaston'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
August 25, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
LINCOLN, NE
Current
August 25, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
SARATOGA SPRINGS, UT
Past
October 20, 2022 - August 1, 2025
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
SYRACUSE, NY
Past
October 20, 2022 - August 1, 2025
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
November 1, 2021 - October 20, 2022
AMERITAS ADVISORY SERVICES, LLC
RIA
CRD#: 317245
LINCOLN, NE
Past
November 17, 2020 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
RIA
CRD#: 14869
LINCOLN, NE
Past
May 15, 2020 - October 20, 2022
AMERITAS INVESTMENT COMPANY, LLC
BD
CRD#: 14869
LINCOLN, NE
Past
May 16, 2019 - May 7, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
October 1, 2014 - April 1, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LAVISTA, NE
Past
March 25, 2005 - September 22, 2014
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
BROOKLYN, OH
Past
January 2, 2004 - November 29, 2004
VICTORY CAPITAL SERVICES, INC.
BD
CRD#: 37059
BROOKLYN, OH
Past
January 2, 2003 - November 23, 2004
VICTORY CAPITAL MANAGEMENT INC.
RIA
CRD#: 106189
CLEVELAND, OH
Past
April 5, 1999 - December 31, 2003
KEYBANC CAPITAL MARKETS INC.
BD
CRD#: 566
CLEVELAND, OH
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
Iowa(8/27/2025)
RR
Nebraska(8/25/2025)
IAR
Nebraska(8/25/2025)
Exams
State Security Law Exam
State Security Law 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.
