CS
Craig A. Spadafora
PRINCIPAL SECURITIES
DES MOINES, IA 50392
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CRD#: 3184320
CS
Professional summary
Craig Alan Spadafora, AIF®, who also goes by Craig Akin Spadafora, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
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, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Craig Akin Spadafora
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.
COUNCILOR POSITION: City Councilor NATURE: Elected Official INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 215 Pleasant Street, Malden MA 02148, United States DESCRIPTION: City Councilor, sit on City committee. WINTER AVE REALTY TRUST POSITION: Winter Ave Realty Trust NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2022 ADDRESS: 20 WINTER AVE, MALDEN MA 02148, United States DESCRIPTION: It's equal ownership in a single-family investment property. I am one of the tow owners, my role was primarily to provide capital. The business dealings are control[ed] by Anthony Spadafora (cousin) in terms of rent collections, and maintenance. I do have check-writing capabilities. JAC HOLDING POSITION: Co-owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 1 Malden Street, Malden MA 02148, United States DESCRIPTION: It's equal ownership in a single-family investment property. I am one of the three owners, my role was primarily to provide [capital?] The business dealings are control[ed] by Jon Spadafora (cousin) in terms of rent collection, and maintenance., I do not have check-writing capabilities.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Alan Spadafora's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig Alan Spadafora'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
July 19, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Current
July 18, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
November 2, 2018 - May 20, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
BOSTON, MA
Past
November 2, 2018 - May 20, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
BOSTON, MA
Past
November 1, 2013 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
BD
CRD#: 19061
BOSTON, MA
Past
April 15, 2013 - November 2, 2018
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
BOSTON, MA
Past
April 15, 2013 - November 2, 2018
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
June 14, 2012 - December 31, 2012
ESSEX SECURITIES LLC
BD
CRD#: 46605
JERSEY CITY, NJ
Past
May 31, 2012 - December 31, 2012
GLOBAL INVESTMENT ADVISORS, LLC
RIA
CRD#: 121442
MALDEN, MA
Past
August 7, 2002 - January 10, 2012
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
April 6, 2000 - July 24, 2002
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
April 28, 1999 - March 16, 2000
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Iowa(7/18/2019)
IAR
Iowa(7/19/2019)
RR
Massachusetts(7/18/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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#: 1137Des Moines, IA 50392TRUST BUT VERIFY
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