CC
Craig T. Charlton
PRINCIPAL SECURITIES
Wayne, PA 19087
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CRD#: 3175823
CC
Professional summary
Craig Timothy Charlton, who also goes by Craig Charlton, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wayne, Pennsylvania.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Craig has worked at 8 firms and has passed the Series 66, Series 63, Series 52TO, Series 79TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig Charlton
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; Investment Related; Wayne, PA; Agent; Fixed Life, Annuities, DI, FIA, Group Life, Group, DI, Benefits; Start Date: 02/01/2020; 10 hrs per month; 40 during trading hours. **WINDY HILL HOMEOWNERS ASSOCIATION POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 527 Windy Hill Road, West Chester PA 19382, United States DESCRIPTION: My title is Treasurer and I am a member of the Board. My responsibilities are to oversee the annual financial report prepared by a public accountant, prepare the annual budget and present a report of financial condition at the monthly Board meetings. I do not handle any funds and there are no investments. The position is unpaid. It is a small HOA with 15 members and a budget of $70,000.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Timothy Charlton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig Timothy Charlton'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 27, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 550 E Swedesford Rd Ste 240, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
Current
January 16, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 550 E Swedesford Rd Ste 240, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
Past
November 6, 2015 - January 23, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CHALFONT, PA
Past
August 25, 2015 - January 23, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CHALFONT, PA
Past
January 16, 2013 - August 19, 2015
WADDELL & REED
RIA
CRD#: 866
YARDLEY, PA
Past
November 2, 2012 - August 19, 2015
WADDELL & REED
BD
CRD#: 866
YARDLEY, PA
Past
June 3, 2009 - April 1, 2011
SOUTHSTATE|DUNCANWILLIAMS SECURITIES CORP.
BD
CRD#: 6950
PHILADELPHIA, PA
Past
May 25, 2006 - July 9, 2009
USTOCKTRADE SECURITIES, INC.
BD
CRD#: 16208
PHILADELPHIA, PA
Past
January 1, 2005 - June 2, 2006
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
Past
April 3, 2000 - February 27, 2002
TD WEALTH MANAGEMENT SERVICES INC.
BD
CRD#: 6940
PHILADELPHIA, PA
Past
March 17, 1999 - March 29, 2000
OPPENHEIMER & CO. INC.
BD
CRD#: 249
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
Delaware(1/16/2020)
RR
Florida(4/4/2024)
RR
Maryland(4/4/2023)
RR
New Jersey(3/8/2023)
RR
New York(1/16/2020)
RR
Pennsylvania(1/16/2020)
IAR
Pennsylvania(1/27/2020)
RR
Virginia(2/3/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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.
