AZ
Allan B. Zucker
PRINCIPAL SECURITIES
DELRAY BEACH, FL
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CRD#: 3004384
AZ
Professional summary
Allan Brett Zucker, who also goes by Allan B Zucker, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Delray Beach, Florida.
Allan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Allan has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Allan B Zucker
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.
**INSURANCE (PPN) POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/03/2025 ADDRESS: 7965 Villa D Este Way, Delray Beach FL 33446, United States DESCRIPTION: PPN Business. **VALUE REACTOR, LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 01/06/2024 ADDRESS: 7965 Villa D Este Way, Delray Beach FL 33446, United States DESCRIPTION: Affiliate Marketing company. Our customers are adverting & affiliate networks. We perform lead generation and get paid on a "cost per lead" basis. Effectively it's performance-based marketing.
CRS (Client Relationship Summary) - RIA
Click below to view Allan Brett Zucker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Allan Brett Zucker'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 29, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
DELRAY BEACH, FL
Current
January 28, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
DELRAY BEACH, FL
Past
October 27, 2022 - January 30, 2025
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Delray Beach, FL
Past
October 26, 2022 - January 30, 2025
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Delray Beach, FL
Past
June 26, 2018 - October 26, 2022
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Delray Beach, FL
Past
June 14, 2018 - October 26, 2022
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Delray Beach, FL
Past
April 29, 2015 - June 12, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
FT LAUDERDALE, FL
Past
January 28, 2015 - June 12, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
FT LAUDERDALE, FL
Past
September 13, 2011 - April 5, 2012
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
BOCA RATON, FL
Past
April 17, 2001 - April 29, 2002
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
November 30, 1999 - April 4, 2001
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
July 1, 1999 - November 22, 1999
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
January 26, 1999 - June 30, 1999
1717 CAPITAL MANAGEMENT COMPANY
BD
CRD#: 4082
NEWARK, DE
Past
May 15, 1998 - January 14, 1999
NYLIFE SECURITIES LLC
BD
CRD#: 5167
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(1/28/2025)
IAR
Florida(1/29/2025)
RR
South Carolina(2/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 12/4/2015
Corporate Securities Limited Representative ExaminationGeneral 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.
