Todd L. Hall
Professional summary
Todd Lee Hall is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Edgewater, Maryland and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Todd is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Todd has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Todd Lee Hall's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 30, 2022 - Present
PRINCIPAL ADVISED SERVICES
November 27, 2006 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392December 18, 2006 - October 30, 2022
PRINCIPAL SECURITIES, INC.
October 11, 2006 - October 23, 2006
OSAIC FA, INC.
October 11, 2006 - October 23, 2006
OSAIC FA, INC.
August 29, 2003 - October 9, 2006
OSAIC FA, INC.
February 28, 2003 - May 16, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 28, 2003 - October 9, 2006
OSAIC FA, INC.
June 29, 2000 - June 18, 2002
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/12/2021)
(2/12/2021)
(2/12/2021)
(2/12/2021)
(7/19/2011)
(11/27/2006)
(2/12/2021)
(4/5/2024)
(11/27/2006)
(10/30/2022)
(2/12/2021)
(2/22/2021)
(2/12/2021)
(11/5/2008)
(2/12/2021)
(11/27/2006)
(7/31/2025)
(2/12/2021)
(2/12/2021)
(11/27/2006)
Exams
FINRA
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
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 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 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.
