DS
Dene M. Sanfillipo
PRINCIPAL SECURITIES
Dublin, OH 43017
Some features on this profile are disabled
CRD#: 2945713
DS
Professional summary
Dene Maria Sanfillipo, who also goes by Dene Maria Dixon, Dene Maria Dixon, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Dublin, Ohio.
Dene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Dene has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dene Maria Dixon | Dene Maria Dixon
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.
**SAMS FANS POSITION: sponsorship committee member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2023 ADDRESS: 4041 N. High St., Suite 401E, Columbus OH 43214, United States DESCRIPTION: Help in fundraising for the event called A THREAD of Hope. Lead a team of individuals to obtain corporate donations. **INSURANCE POSITION: Agent NATURE: Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2018 ADDRESS: 5600 Blazer Pkwy, Suite 300, Dublin OH 43017, United States DESCRIPTION: Life, DI, LTC. **INSURANCE & INVESTMENT / Lake Forest Financial Advisors (DBA) POSITION: CEPA NATURE: Financial Strategies/Needs Analysis, Group/Health Insurance, Life Insurance/Annuities, Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 02/05/2025 ADDRESS: 5600 Blazer Pkwy, Suite 300, Dublin OH 43017, United States DESCRIPTION: Facilitating business with colleagues as part of DBA to maintain synergy. I will be mainly involved in national markets and business development through networking & prospecting. When/if business is placed for insurance products individually and through employee benefits, I will share in compensation from sales developed through my efforts. **INSURANCE & FINANCIAL PLANNING / Residently Speaking (DBA) POSITION: Financial Advisor NATURE: Seminars/Educational Workshops, DI/A&H Insurance Fee-based Financial Planning, Financial Strategies/Needs Analysis, Group/Health Insurance, Life Insurance/Annuities INVESTMENT RELATED: Yes NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 3 START DATE: 08/01/2010 ADDRESS: 5600 Blazer Pkwy, Suite 300, Dublin OH 43017, United States DESCRIPTION: Facilitating business with colleagues as part of DBA to maintain synergy. I will be mainly involved in medical/healthcare market development through networking & prospecting. When/if business is placed for insurance products individually and through employee benefits, I will share in compensation from sales developed through my efforts. **LAKE FOREST FINANCIAL ADVISORS (DBA) POSITION: Financial Advisor, Partner NATURE: individual and business consulting, seminars, education workshops, fee-based planning, etc... INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 09/01/2025 ADDRESS: 5600 Blazer Pkwy, Suite 300, Dublin OH 43017, United States DESCRIPTION: Financial Advisory & Partner that will manage growth of practice and maintain existing clients via team utilization. **INSURANCE & CONSULTING POSITION: Residently Speaking NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2025 ADDRESS: 5600 Blazer Pkwy, Suite 300, Dublin OH 43017, United States DESCRIPTION: Insurance sales and consulting for resident physicians. Offering GSI Disability coverage via Ameritas. Providing education and connection to insurance and financial education.
CRS (Client Relationship Summary) - RIA
Click below to view Dene Maria Sanfillipo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dene Maria Sanfillipo'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
January 30, 2003 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5600 Blazer Pkwy Ste 300, Dublin, OH 43017RIA
BD
CRD#: 1137
Dublin, OH
Current
November 24, 1997 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 5600 Blazer Pkwy Ste 300, Dublin, OH 43017RIA
BD
CRD#: 1137
Dublin, 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
Alabama(1/11/2024)
RR
California(1/3/2023)
RR
Colorado(8/31/2023)
RR
Connecticut(8/8/2012)
RR
Florida(1/3/2023)
RR
Hawaii(1/3/2023)
RR
Illinois(4/28/1998)
RR
Indiana(1/3/2023)
RR
Maryland(1/3/2023)
RR
New York(1/3/2023)
RR
North Carolina(3/31/2016)
RR
Ohio(11/24/1997)
IAR
Ohio(1/30/2003)
RR
Oregon(1/3/2023)
RR
Pennsylvania(3/2/2016)
RR
West Virginia(1/3/2023)
Exams
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.
