Sandra Lawter-otoole
PRINCIPAL SECURITIES
Dover, DE 19904
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CRD#: 3265657
Professional summary
Sandra Lawter-otoole, CFP®, who also goes by Sandra Lee Lawter, Sandra L Lawter-o'toole, Sandra Lawter-o'toole, Sandra Lee Lawter-otoole, Sandra L Otoole, Sandra Lawter Otoole, Sandra Lee Otoole, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Dover, Delaware.
Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Sandra has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sandra Lee Lawter | Sandra L Lawter-O'toole | Sandra Lawter-O'toole | Sandra Lee Lawter-Otoole | Sandra L Otoole | Sandra Lawter Otoole | Sandra Lee Otoole
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.
***OUTSIDE INSURANCE, LTC, 01/30/12. **Fixed insurance, Fixed life, fixed annuities, DI and LTC, 8/10/16. ***BLOKAMP, LLC; Not Investment Related; 369 Case Ridge Rd, Dover, DE 19901; Vice President; Listed as VP of mother's LLC in the event she becomes incapacitated, RR can easily step in to handle properties.; Start Date: 07/31/2018; 0 hrs per month; 0 during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Sandra Lawter-otoole's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sandra Lawter-otoole'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®
CFP®
Start date: 2015
Experience
Current
December 19, 2011 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1305 S Governors Ave, Dover, DE 19904RIA
BD
CRD#: 1137
Dover, DE
Current
November 17, 2011 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1305 S Governors Ave, Dover, DE 19904RIA
BD
CRD#: 1137
Dover, DE
Past
December 22, 2010 - November 17, 2011
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
DOVER, DE
Past
February 6, 2008 - December 22, 2010
USA FINANCIAL SECURITIES LLC
BD
CRD#: 103857
DOVER, DE
Past
August 30, 2007 - February 5, 2008
USA ADVANCED PLANNERS INC.
BD
CRD#: 131282
DOVER, DE
Past
August 19, 2004 - July 31, 2007
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DOVER, DE
Past
July 26, 1999 - June 30, 2004
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
OAKDALE, MN
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(8/1/2013)
RR
Arizona(1/16/2021)
RR
Delaware(11/23/2011)
IAR
Delaware(12/19/2011)
RR
Florida(3/20/2015)
RR
Georgia(3/8/2022)
RR
Kentucky(4/29/2022)
RR
Maryland(11/28/2011)
RR
Massachusetts(1/16/2021)
RR
New York(2/10/2021)
RR
North Carolina(6/5/2014)
RR
Ohio(5/28/2013)
RR
Pennsylvania(5/30/2024)
RR
Virginia(3/8/2022)
Exams
State Security Law Exam
State Security Law Exam
General 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.
