MD
Matthew W. Dobbins
PRINCIPAL SECURITIES
Lake Elmo, MN 55042
Some features on this profile are disabled
CRD#: 4019622
MD
Professional summary
Matthew Walter Dobbins, who also goes by Matt Dobbins, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lake Elmo, Minnesota.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Matthew has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Dobbins
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.
**INSURANCE POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 1 START DATE: 06/05/2023 ADDRESS: 8530 Eagle Point Blvd, Suite 125, Lake Elmo MN 55042, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **WBL YOUTH BASKETBALL POSITION: Coach NATURE: Boys Basketball Coach INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2024 ADDRESS: 5045 Division Ave, White Bear Lake MN 55110, United States DESCRIPTION: Coach. Coaching 3rd grade boys' basketball. **HI TEMPO SNOWSPORTS POSITION: Sales Associate NATURE: Ski Shop INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 12/01/2024 ADDRESS: 3959 US-61, White Bear Lake MN 55110, United States DESCRIPTION: Sales of Ski Equipment. **DOBBINS PROPERTY MANAGEMENT LLC POSITION: Dobbins Property Management LLC NATURE: Real Estate Rental Income INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/15/2025 ADDRESS: 4993 Bald Eagle Avenue, White Bear Lake MN 55110, United States DESCRIPTION: Recently purchased new home. Will be renting our old home. **BANKINMN ASSOCIATION POSITION: Financial advisor NATURE: BankinMN Association INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2025 ADDRESS: 8530 Eagle Point Boulevard, Suite 125, Lake Elmo MN 55042-8650, United States DESCRIPTION: Networking with C suite banking executives. **KUITU FINANCIAL (DBA) POSITION: Financial Advisor NATURE: Other INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 11/03/2025 ADDRESS: 8530 Eagle Point Boulevard, Suite 125, Lake Elmo MN 55042-8650, United States DESCRIPTION: This is to be included on Kuitu Financial marketing materials. **Cannaday Wealth Management (DBA) POSITION: Financial Advisor NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 175 SECURITIES TRADING HOURS: 8 START DATE: 11/03/2025 ADDRESS: 8530 Eagle Point Boulevard, Suite 125, Lake Elmo MN 55042-8650, United States DESCRIPTION: Financial Advisor working with clients/businesses providing securities, insurance and overall wealth management.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Walter Dobbins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Walter Dobbins'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
June 6, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042RIA
BD
CRD#: 1137
Lake Elmo, MN
Current
June 2, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042RIA
BD
CRD#: 1137
Lake Elmo, MN
Past
December 19, 2013 - June 5, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
White Bear Lake, MN
Past
July 1, 2002 - June 5, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
White Bear Lake, MN
Past
November 1, 1999 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
BD
CRD#: 4205
MINNEAPOLIS, 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
Indiana(9/5/2024)
RR
Minnesota(6/2/2023)
IAR
Minnesota(6/6/2023)
RR
Montana(9/5/2024)
RR
Wisconsin(6/2/2023)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
