Ari M. Litvin
Professional summary
Ari Matthew Litvin, who also goes by Ari M Litvin, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Denver, Colorado.
Ari is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Ari has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Ari Matthew Litvin's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ari Matthew Litvin's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 15, 2026 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4600 S Syracuse St Ste 1000, Denver, CO 80237April 15, 2026 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4600 S Syracuse St Ste 1000, Denver, CO 80237May 11, 2023 - January 6, 2026
WELLS FARGO CLEARING SERVICES, LLC
May 11, 2023 - January 6, 2026
WELLS FARGO CLEARING SERVICES, LLC
July 12, 2022 - May 3, 2023
RBC CAPITAL MARKETS, LLC
July 12, 2022 - May 3, 2023
RBC CAPITAL MARKETS, LLC
August 27, 2019 - July 26, 2022
RAYMOND JAMES & ASSOCIATES, INC.
August 27, 2019 - July 26, 2022
RAYMOND JAMES & ASSOCIATES, INC.
March 6, 2008 - August 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
March 6, 2008 - August 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
April 2, 2007 - March 7, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - March 7, 2008
MORGAN STANLEY & CO. LLC
April 27, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
April 27, 2004 - April 2, 2007
MORGAN STANLEY DW INC.
June 9, 2003 - February 6, 2004
PLANMEMBER SECURITIES CORPORATION
June 5, 2003 - February 6, 2004
PLANMEMBER SECURITIES CORPORATION
January 13, 2003 - March 21, 2003
WELLS FARGO INVESTMENTS, LLC
May 29, 2002 - March 21, 2003
WELLS FARGO INVESTMENTS, LLC
January 5, 1999 - April 26, 2002
MORGAN STANLEY DW INC.
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
(4/15/2026)
(4/15/2026)
(4/15/2026)
(4/15/2026)
Exams
FINRA
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 |
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.
