RG
Rupert B. Gregorio
PRINCIPAL SECURITIES
Bakersfield, CA 93309
Some features on this profile are disabled
CRD#: 3068594
RG
Professional summary
Rupert B Gregorio, who also goes by Jr Rupert Baliola Gregorio, Rupert Baliola Gregorio Jr, Rupert Baliola Gregorio, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Bakersfield, California.
Rupert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Rupert has worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jr Rupert Baliola Gregorio | Rupert Baliola Gregorio Jr | Rupert Baliola Gregorio
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, DI, LTC, Annuities, 8/16/17 **En8 Digital, Inc.; Not Investment Related; Newbury Park, CA; Co-owner; Voting rights, planning, budgeting.; Start Date: 02/01/2020; 4 hrs per month; 0 during trading hours. **INSURANCE - HEALTH PLANS POSITION: Gregorio Health Insurance Plans NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2025 ADDRESS: 4900 California Ave Suite 120B, Bakersfield CA 93309, United States DESCRIPTION: I will be selling insurance plans to business in California. I plan on building a network of influence with small and mid sized businesses, along with their trusted advisors like CPAs, Attorney's, and other consultants to drive sales. I plan on clearing these plans through Warner Pacific, while working here at Principal Securities.
CRS (Client Relationship Summary) - RIA
Click below to view Rupert B Gregorio's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rupert B Gregorio'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 12, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4900 California Ave Ste 120b, Bakersfield, CA 93309RIA
BD
CRD#: 1137
Bakersfield, CA
Current
January 10, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4900 California Ave Ste 120b, Bakersfield, CA 93309RIA
BD
CRD#: 1137
Bakersfield, CA
Past
February 26, 2015 - January 5, 2017
U.S. BANCORP ADVISORS, LLC
RIA
CRD#: 14455
WASCO, CA
Past
February 25, 2015 - January 5, 2017
U.S. BANCORP ADVISORS, LLC
BD
CRD#: 14455
WASCO, CA
Past
June 1, 2009 - March 9, 2015
MORGAN STANLEY
RIA
CRD#: 149777
BAKERSFIELD, CA
Past
June 1, 2009 - March 9, 2015
MORGAN STANLEY
BD
CRD#: 149777
BAKERSFIELD, CA
Past
March 20, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BAKERSFIELD, CA
Past
March 20, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BAKERSFIELD, CA
Past
July 30, 2007 - March 14, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
BAKERSFIELD, CA
Past
November 29, 2004 - May 1, 2007
WESTERN INTERNATIONAL SECURITIES, INC.
RIA
CRD#: 39262
BAKERSFIELD, CA
Past
November 29, 2004 - March 14, 2008
WESTERN INTERNATIONAL SECURITIES, INC.
BD
CRD#: 39262
PASADENA, CA
Past
February 3, 2004 - May 24, 2004
KINSELL, NEWCOMB & DE DIOS, INC
BD
CRD#: 16427
CARLSBAD, CA
Past
January 30, 2003 - January 29, 2004
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
BAKERSFIELD, CA
Past
January 30, 2003 - January 29, 2004
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
June 13, 2001 - January 14, 2003
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
BAKERSFIELD, CA
Past
May 4, 2001 - January 14, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
July 13, 2000 - May 10, 2001
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
California(1/10/2017)
IAR
California(1/12/2017)
RR
Colorado(11/8/2018)
RR
Florida(1/10/2017)
RR
Oregon(1/10/2017)
Exams
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Bakersfield, CA 93309TRUST BUT VERIFY
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