David Schoep
Professional summary
David Schoep, who also goes by Dave Schoep, David K Schoep, David Kenneth Schoep, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Aurora, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 12 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view David Schoep's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Schoep's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 29, 2026 - Present
PRINCIPAL SECURITIES, INC.
April 29, 2026 - Present
PRINCIPAL SECURITIES, INC.
July 2, 2024 - April 20, 2026
CETERA WEALTH SERVICES, LLC
March 21, 2024 - April 20, 2026
CETERA INVESTMENT ADVISERS LLC
June 7, 2019 - June 3, 2020
CETERA WEALTH SERVICES, LLC
June 7, 2019 - September 8, 2022
FIRST ALLIED SECURITIES, INC.
June 7, 2019 - April 20, 2026
CETERA INVESTMENT SERVICES LLC
June 7, 2019 - April 20, 2026
CETERA FINANCIAL SPECIALISTS LLC
July 17, 2018 - December 3, 2019
SUMMIT BROKERAGE SERVICES, INC.
March 6, 2013 - June 2, 2015
CETERA WEALTH SERVICES, LLC
February 7, 2013 - June 2, 2015
CETERA INVESTMENT SERVICES LLC
November 16, 2012 - January 21, 2014
CETERA INVESTMENT SERVICES LLC
November 16, 2012 - June 2, 2015
CETERA WEALTH SERVICES, LLC
October 18, 2012 - June 2, 2015
CETERA INVESTMENT ADVISERS LLC
October 18, 2012 - June 2, 2015
CETERA FINANCIAL SPECIALISTS LLC
May 28, 2012 - March 21, 2024
CETERA ADVISORS LLC
January 25, 2012 - April 20, 2026
CETERA ADVISORS LLC
November 30, 2007 - August 24, 2011
CETERA ADVISORS LLC
September 30, 2005 - October 10, 2007
CHARLES SCHWAB & CO., INC.
January 31, 2005 - July 28, 2005
TRANSAMERICA CAPITAL, LLC
March 31, 2000 - February 3, 2005
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
June 10, 1999 - January 27, 2000
JANUS HENDERSON DISTRIBUTORS US 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
(4/29/2026)
(4/29/2026)
(4/29/2026)
(4/29/2026)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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 |
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.
