EV
Eric Vanderleek
PRINCIPAL ADVISED SERVICES
Des Moines, IA 50392
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CRD#: 2891374
EV
Professional summary
Eric Vanderleek is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Des Moines, Iowa and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Eric has worked at 8 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
**PRINCIPAL ADVISED SERVICES POSITION: Investment Adviser Representative NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2022 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Investment Adviser Representative of a Registered Investment Adviser that facilitates investment advice to its customers. Compensation is from combined role with Principal on behalf of the Principal Securities, Principal Bank and Principal Advised Services entities. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/21/2021 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Vanderleek'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
November 10, 2022 - Present
PRINCIPAL ADVISED SERVICES
Office #1: 711 High St, Des Moines, IA 50392RIA
CRD#: 297324
Des Moines, IA
Current
September 21, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
August 10, 2012 - August 16, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
RIA
CRD#: 11025
ST. LOUIS, MO
Past
April 2, 2012 - August 16, 2021
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
July 16, 2008 - August 16, 2021
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
January 3, 2006 - July 14, 2008
E*TRADE SECURITIES LLC
BD
CRD#: 29106
CHARLOTTE, NC
Past
December 31, 2001 - December 31, 2005
HARRISDIRECT LLC
RIA
CRD#: 42159
CHARLOTTE, NC
Past
October 28, 1997 - December 31, 2005
HARRISDIRECT LLC
BD
CRD#: 42159
JERSEY CITY, NJ
Past
June 26, 1997 - October 23, 1997
AUERBACH, POLLAK & RICHARDSON INC.
BD
CRD#: 29824
STAMFORD, CT
Past
May 29, 1997 - June 24, 1997
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)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
Arkansas(7/14/2022)
RR
Colorado(7/14/2022)
RR
Connecticut(7/14/2022)
RR
Florida(7/14/2022)
RR
Iowa(12/6/2021)
IAR
Iowa(2/8/2024)
RR
Massachusetts(7/14/2022)
RR
Minnesota(12/6/2021)
RR
Missouri(9/21/2021)
RR
Nebraska(7/14/2022)
RR
North Carolina(9/21/2021)
RR
Oklahoma(7/14/2022)
RR
South Dakota(7/14/2022)
RR
Utah(7/14/2022)
RR
Vermont(7/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 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.
Company Information
PRINCIPAL ADVISED SERVICES
CRD#: 297324Des Moines, IA 50392TRUST BUT VERIFY
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