Sam Michael Tippy
CFP®Professional Summary
Sam Michael Tippy, CFP®, who also goes by Sam Michael Tiddy, is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Sam Michael Tiddy
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Videos & Posts
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Contact Information
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PRINCIPAL SECURITIES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Credentials
Years of Experience
28 years in the financial services industry
Current & Past Employments
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Current Firm
FIDELITY & GUARANTY SECURITIES CORP. | FIDELITY & GUARANTY SECURITIES, LLC
Contact Information
Main Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309Mailing Address
801 Grand Ave. Suite 2600, Des Moines, IA 50309Phone Number
+1 (888) 697-5433Established
Delaware since 08/16/2022Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY & GUARANTY LIFE INSURANCE COMPANY | DIRECT OWNER | — |
| BARRETT, RONALD JOHN JR | DIRECTOR | 2480222 |
| CANTONWINE, TESSA ELIZABETH | SECRETARY | 5626630 |
| LYNCH, JEFFERSON JAMES | DIRECTOR | 3024820 |
| OLSON, THOMAS G | CHIEF EXECUTIVE OFFICE AND DIRECTOR | 2393888 |
| RIP, OLGA | FINOP PRINCIPAL, PRINCIPAL OPERATIONS OFFICER, AND PRINCIPAL FINANCIAL OFFICER | 5440553 |
| STOKES, KELLY MARIE | CHIEF COMPLIANCE OFFICER | 2589504 |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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PRINCIPAL SECURITIES, INC.
State Registrations and Notice Filings
(7/17/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6TO — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 2026About the Series 6TO examSRO Registrations
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PRINCIPAL SECURITIES, INC.
CRS (Client Relationship Summary) - BD
Click below to view Sam Michael Tippy's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.
