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ST

Sam M. Tippy

FIDELITY & GUARANTY SECURITIES
DES MOINES, IA 50309
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CRD#: 3005709
ST
Sam Michael TippyFIDELITY & GUARANTY SECURITIES

Professional summary

Sam Michael Tippy, CFP®, who also goes by Sam Michael Tiddy, is a registered financial professional currently at FIDELITY & GUARANTY SECURITIES, LLC located in Des Moines, Iowa.

Sam is registered as a RR (Registered Representative) and started their career in finance in 1998. Sam has worked at 5 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 24 exams.

Aliases

Sam Michael Tiddy

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sam Michael Tippy'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®
CFP®

Certified Financial Planner

Experience

Current

July 17, 2026 - Present

FIDELITY & GUARANTY SECURITIES, LLC

Office #1: 801 Grand Ave. Suite 2600, Des Moines, IA 50309
BD
CRD#: 315720
DES MOINES, IA
Past

April 8, 2022 - October 23, 2025

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

November 6, 2009 - April 21, 2015

PRINCIPAL FUNDS DISTRIBUTOR, INC.

BD
CRD#: 43261
DES MOINES, IA
Past

January 18, 2000 - November 3, 2021

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
DES MOINES, IA
Past

July 24, 1998 - November 3, 2021

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

February 23, 1998 - June 16, 1998

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
Ohio
(7/17/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/6/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/17/2026
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/19/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/9/2005
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

F&
FIDELITY & GUARANTY SECURITIES, LLC
FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720 / SEC#: , 8-70916

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Mailing Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309
Phone number
+1 (888) 697-5433
Established
Delaware since 08/16/2022
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
FIDELITY & GUARANTY LIFE INSURANCE COMPANYDIRECT OWNER
ANDERSON, STEPHEN FRANCISCHIEF COMPLIANCE OFFICER AND AML OFFICER1181095
BARRETT, RONALD JOHN JRDIRECTOR2480222
CANTONWINE, TESSA ELIZABETHSECRETARY5626630
OLSON, THOMAS GCHIEF EXECUTIVE OFFICE AND DIRECTOR2393888
PHELPS, JOHN ADIRECTOR5664815
RIP, OLGAFINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER5440553

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

FIDELITY & GUARANTY SECURITIES, LLC

CRD#: 315720Des Moines, IA 50309

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