Windy S. Seto

PRINCIPAL ADVISED SERVICES

Vancouver, WA

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CRD#: 3267752

Professional summary

Windy Sukming Seto, who also goes by Windy Suk-ming Seto-magana, Windy Sukming Seto-magana, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Vancouver, Washington and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.

Windy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Windy has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Windy Suk-Ming Seto-Magana | Windy Sukming Seto-Magana

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.

RENTAL PROPERTY, OWNER, 5/4/15.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Windy Sukming Seto's CRS (Customer Relationship Summary).

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®

None

Experience

Current

October 31, 2022 - Present

PRINCIPAL ADVISED SERVICES

RIA

CRD#: 297324

Vancouver, WA

Current

January 26, 2011 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392

RIA

CRD#: 1137

DES MOINES, IA

Past

January 26, 2011 - October 31, 2022

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

LAKE OSWEGO, OR

Past

July 6, 2010 - November 29, 2010

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

VANCOUVER, WA

Past

July 6, 2010 - November 29, 2010

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

VANCOUVER, WA

Past

June 30, 2006 - July 7, 2010

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

VANCOUVER, WA

Past

September 24, 2001 - July 7, 2010

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

VANCOUVER, WA

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 ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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.

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

Alabama
(2/8/2021)

Alaska
(2/8/2021)

Arizona
(2/8/2021)

California
(2/8/2021)

Colorado
(2/8/2021)

Connecticut
(2/8/2021)

District of Columbia
(2/8/2021)

Florida
(2/8/2021)

Georgia
(2/8/2021)

Hawaii
(2/8/2021)

Idaho
(1/26/2011)

Illinois
(2/8/2021)

Indiana
(2/8/2021)

Iowa
(2/8/2021)

IAR

Iowa
(4/5/2024)

Kansas
(2/8/2021)

Kentucky
(2/8/2021)

Louisiana
(2/8/2021)

Maryland
(2/8/2021)

Massachusetts
(2/8/2021)

Michigan
(2/8/2021)

Minnesota
(2/8/2021)

Missouri
(2/8/2021)

Montana
(2/8/2021)

Nebraska
(2/8/2021)

Nevada
(2/8/2021)

New Jersey
(2/8/2021)

New Mexico
(2/8/2021)

New York
(2/8/2021)

North Carolina
(2/8/2021)

Ohio
(2/8/2021)

Oregon
(1/26/2011)

Pennsylvania
(2/8/2021)

South Carolina
(2/8/2021)

Texas
(2/8/2021)

Utah
(2/8/2021)

Virginia
(2/8/2021)

Washington
(1/26/2011)

IAR

Washington
(10/31/2022)

Wisconsin
(2/8/2021)

Wyoming
(2/8/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/29/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/12/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/17/2003

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/21/2001

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

655 9th Street, Des Moines, IA 50309

Mailing Address

711 High Street, Des Moines, IA 50392

Phone number

(866) 412-0770

Established

Firm type

Fiscal year end

# of Employees

343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PAS ADV 2A ADVICE BROCHURE (3/31/2025)

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	16,940
AUM (Assets Under Management)	$ 887,316,440

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/20/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Windy S. Seto

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Windy Sukming Seto's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

Primary Firm SEC Registration

PRINCIPAL ADVISED SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 6/29/2006

Series 63

Date: 10/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 12/17/2003

Series 6

Date: 9/21/2001

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ADVISED SERVICES

TRUST BUT VERIFY

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