BT
Brian P. Thornton
PRINCIPAL SECURITIES
FREDERICK,, MD
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CRD#: 3016295
BT
Professional summary
Brian Patrick Thornton, CFP® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Frederick,, Maryland.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
***Rental Properties; Not Investment Related; 6550 Rock Spring Drive, Suite 415, Bethesda, MD 20817; Owner; Ownership of two single family rental properties located at Owns rental property; Start Date: 11/24/2014; 0 hrs per month; 0 during trading hours. PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank / Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/28/2022 ADDRESS: 6700 ROCKLEDGE DR BLDG A, Suite #350, BETHESDA MD 20817-1824, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal. RENTAL PROPERTIES POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/24/2014 ADDRESS: 6700 ROCKLEDGE DR BLDG A, Suite #250, BETHESDA MD 20817-1824, United States DESCRIPTION: Ownership of one single family rental property. Location of rental property: Cape Coral, Florida
CRS (Client Relationship Summary) - RIA
Click below to view Brian Patrick Thornton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Patrick Thornton'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®
Experience
Current
June 18, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 6700 Rockledge Dr Bldg A Ste 350, Bethesda, MD 20817RIA
BD
CRD#: 1137
FREDERICK,, MD
Current
September 23, 2009 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6700 Rockledge Dr Bldg A Ste 350, Bethesda, MD 20817RIA
BD
CRD#: 1137
Bethesda, MD
Past
August 8, 2008 - June 19, 2009
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
BETHESDA, MD
Past
August 6, 2008 - June 19, 2009
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
BETHESDA, MD
Past
October 31, 2007 - August 5, 2008
INVESTOR SOLUTIONS
RIA
CRD#: 106532
COCONUT GROVE, FL
Past
June 6, 2007 - July 5, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
BRANDON, FL
Past
May 24, 2007 - July 5, 2007
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BRANDON, FL
Past
June 9, 2004 - March 20, 2007
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
SAINT PETERSBURG, FL
Past
March 3, 2004 - March 20, 2007
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
November 10, 2003 - February 23, 2004
T. ROWE PRICE ADVISORY SERVICES, INC.
RIA
CRD#: 108958
TAMPA, FL
Past
October 22, 2003 - February 23, 2004
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
Past
June 5, 2003 - August 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
FORT MYERS, FL
Past
June 2, 2003 - August 21, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 2, 2003 - August 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
May 28, 1998 - October 2, 2002
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
BALTIMORE, MD
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
District of Columbia(9/23/2009)
RR
Florida(10/6/2023)
RR
Maryland(9/23/2009)
IAR
Maryland(6/18/2018)
RR
New York(10/6/2023)
RR
Virginia(9/23/2009)
RR
West Virginia(9/23/2009)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
