RD
Ricky J. Dhabalt
PRINCIPAL SECURITIES
West Des Moines, IA 50266
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CRD#: 3147938
RD
Professional summary
Ricky James Dhabalt, AIF® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in West Des Moines, Iowa.
Ricky is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Ricky has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
**INSURANCE SALES, SALES, 12/1/11. **MEDICARE SUPPLEMENTS POSITION: Owner / Financial Advisor NATURE: Fee-based Financial Planning, Financial Strategies/Needs Analysis Group/Health Insurance Life Insurance/Annuities Mutual Funds/Securities/ VA / VL / Medicare Supplements INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 8 START DATE: 05/16/2004 ADDRESS: 18205 Capitol Ave, Suite 300, Elkhorn NE 68022, United States DESCRIPTION: The only change is adding Medicare Supplements.
CRS (Client Relationship Summary) - RIA
Click below to view Ricky James Dhabalt's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricky James Dhabalt'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
September 19, 2007 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266Office #2: 18205 Capitol Ave Ste 300, Elkhorn, NE 68022RIA
BD
CRD#: 1137
West Des Moines, IA
Current
August 16, 2002 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266Office #2: 18205 Capitol Ave Ste 300, Elkhorn, NE 68022RIA
BD
CRD#: 1137
West Des Moines, IA
Past
June 10, 1999 - January 10, 2001
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
December 15, 1998 - April 20, 1999
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
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
Alabama(10/4/2024)
RR
Arizona(2/15/2012)
RR
Arkansas(8/18/2020)
RR
California(8/18/2020)
RR
Colorado(4/3/2018)
RR
Florida(8/18/2020)
RR
Georgia(5/15/2024)
RR
Illinois(10/11/2013)
RR
Iowa(10/28/2002)
IAR
Iowa(10/21/2024)
RR
Kansas(10/28/2002)
RR
Maine(1/8/2019)
RR
Maryland(8/18/2020)
RR
Massachusetts(3/28/2008)
RR
Michigan(6/22/2020)
RR
Minnesota(8/12/2015)
RR
Mississippi(11/10/2023)
RR
Missouri(7/6/2006)
RR
Montana(5/22/2018)
RR
Nebraska(10/28/2002)
IAR
Nebraska(9/19/2007)
RR
Nevada(8/6/2019)
RR
New Jersey(11/11/2014)
RR
New Mexico(8/18/2020)
RR
New York(11/10/2023)
RR
North Carolina(8/18/2020)
RR
North Dakota(8/18/2020)
RR
Ohio(8/18/2020)
RR
Oklahoma(7/23/2013)
RR
Oregon(10/29/2020)
RR
Pennsylvania(11/10/2023)
RR
South Carolina(4/23/2020)
RR
South Dakota(1/31/2014)
RR
Texas(7/30/2014)
IAR
Texas(6/17/2021)
RR
Utah(8/18/2020)
RR
Virginia(8/18/2020)
RR
Wisconsin(3/14/2024)
RR
Wyoming(10/4/2019)
Exams
State Security Law Exam
State Security Law 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.
