Richard S. Zake
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard S Zake, who also goes by Rich Zake, Richard Scott Zake, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1999. Richard had worked at 20 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 12, 2024 - October 7, 2025
PRINCIPAL SECURITIES, INC.
May 25, 2022 - October 7, 2025
PRINCIPAL ASSET MANAGEMENT
May 25, 2022 - October 7, 2025
PRINCIPAL FUNDS DISTRIBUTOR, INC.
July 29, 2021 - May 31, 2022
LPL FINANCIAL LLC
July 29, 2021 - May 31, 2022
LPL FINANCIAL LLC
February 3, 2021 - July 19, 2021
TRIAD ADVISORS LLC
February 3, 2021 - July 19, 2021
SECURITIES AMERICA, INC.
August 12, 2019 - July 19, 2021
OSAIC SERVICES, INC.
August 12, 2019 - July 19, 2021
WOODBURY FINANCIAL SERVICES, INC.
August 12, 2019 - July 19, 2021
OSAIC SERVICES, INC.
August 12, 2019 - July 19, 2021
OSAIC WEALTH, INC.
August 12, 2019 - July 19, 2021
FSC SECURITIES CORPORATION
July 2, 2018 - August 12, 2019
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
July 2, 2018 - April 17, 2019
G.F. INVESTMENT SERVICES, LLC
April 25, 2018 - July 5, 2018
PRIVATE CLIENT SERVICES, LLC
April 25, 2018 - July 5, 2018
PRIVATE CLIENT SERVICES, LLC
January 2, 2015 - March 16, 2018
INVESTMENT CENTERS OF AMERICA, INC.
March 28, 2007 - March 16, 2018
SII INVESTMENTS, INC.
March 28, 2007 - March 16, 2018
SII INVESTMENTS, INC.
March 28, 2007 - March 16, 2018
INVESTMENT CENTERS OF AMERICA, INC.
July 14, 2006 - April 5, 2007
PARK AVENUE SECURITIES LLC
July 6, 2005 - June 8, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - June 8, 2006
CHASE INVESTMENT SERVICES CORP.
March 27, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 26, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
September 20, 2000 - December 4, 2001
MORGAN STANLEY DW INC.
February 26, 1999 - September 1, 2000
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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.
