MS
Michael E. Shaver
PRINCIPAL SECURITIES
Tampa, FL 33609
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CRD#: 3000555
MS
Professional summary
Michael Earl Shaver, who also goes by Michael E Shaver, Mike Shaver, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Tampa, Florida.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael E Shaver | Mike Shaver
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.
**Fixed Insurance, Life, Annuities, LTC, DI, 01/12/17. **Fixed Insurance; Investment Related; 23453 Gracewood Circle, Land O Lakes, FL 34639; Agent; Group Medical/Health; Start Date: 03/15/2018; 3 hrs per month; 3 during trading hours. **PGA POSITION: Camera assistant NATURE: Volunteer at Valspar Golf Tournament INVESTMENT RELATED: No NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 14 START DATE: 03/15/2023 ADDRESS: Innisbrook Golf Resort, Palm Harbor FL 33601, United States DESCRIPTION: I am going to be a volunteer from 3/15-3/19/2023 as a camera assistant for the Valspar Golf tournament which is sponsored by the PGA. **PGA POSITION: Cameraman Assistant NATURE: Volunteer at Valspar Golf Tournament INVESTMENT RELATED: No NUMBER OF HOURS: 48 SECURITIES TRADING HOURS: 14 START DATE: 03/19/2025 ADDRESS: Innisbrook Golf Resort, Palm Harbor FL 33601, United States DESCRIPTION: I am going to be a volunteer from 3/19-3/23 as a cameraman assistant for the Valspar Golf Tournament which is sponsored by PGA.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Earl Shaver's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Earl Shaver'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
December 9, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4830 W Kennedy Blvd Ste 550, Tampa, FL 33609RIA
BD
CRD#: 1137
Tampa, FL
Current
December 7, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4830 W Kennedy Blvd Ste 550, Tampa, FL 33609RIA
BD
CRD#: 1137
Tampa, FL
Past
February 3, 2015 - December 1, 2016
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
TAMPA, FL
Past
January 30, 2015 - December 1, 2016
OPPENHEIMER & CO. INC.
BD
CRD#: 249
TAMPA, FL
Past
October 5, 2011 - February 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CLEARWATER, FL
Past
July 15, 2011 - February 3, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CLEARWATER, FL
Past
March 13, 1998 - July 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TAMPA, FL
Past
March 12, 1998 - July 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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
Florida(12/7/2016)
IAR
Florida(12/9/2016)
IAR
Texas(1/9/2023)
RR
Texas(1/14/2023)
RR
Vermont(3/1/2024)
RR
Wisconsin(1/9/2021)
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Tampa, FL 33609TRUST BUT VERIFY
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