RF
Robert J. Felix
PRINCIPAL SECURITIES
SAINT CLOUD, MN 56301
Some features on this profile are disabled
CRD#: 4197909
RF
Professional summary
Robert J Felix, who also goes by Bob Felix, Robert Joseph Felix, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Saint Cloud, Minnesota.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Robert has worked at 13 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bob Felix | Robert Joseph Felix
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.
**MN13/MINOR LEAGUE POSITION: Lead Singer NATURE: Entertainment INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 11/28/2021 ADDRESS: 1536 39th Street S, Saint Cloud MN 56301, United States DESCRIPTION: Member of a band - Provide music for entertainment. Evenings and weekends. **RFELIX PROPERTIES POSITION: Co-Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2017 ADDRESS: 1536 39th Street S, Saint Cloud MN 56301, United States DESCRIPTION: Co-owner of two single family rental homes - Landlord Duties **ASSUMPTION CALVERY CEMETERY POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 2341 Roosevelt Road, Saint Cloud MN 56301, United States DESCRIPTION: Board Member - Oversite of Cemetery Operations for the Diocese of Saint Cloud, MN **FIXED INSURANCE / St. Cloud Financial Investment Services (DBA) POSITION: Financial Advisor NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 12/16/2024 ADDRESS: 3030 1st Street S, Saint Cloud MN 56301, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance.
CRS (Client Relationship Summary) - RIA
Click below to view Robert J Felix's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert J Felix'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
December 16, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3030 1st St S, Saint Cloud, MN 56301RIA
BD
CRD#: 1137
SAINT CLOUD, MN
Current
December 16, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3030 1st St S, Saint Cloud, MN 56301RIA
BD
CRD#: 1137
SAINT CLOUD, MN
Past
June 29, 2023 - December 26, 2024
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ST CLOUD, MN
Past
August 17, 2018 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
ST CLOUD, MN
Past
August 17, 2018 - December 26, 2024
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ST CLOUD, MN
Past
February 27, 2018 - August 24, 2018
TD AMERITRADE, INC.
RIA
CRD#: 7870
ST. CLOUD, MN
Past
February 26, 2018 - August 24, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
St. Cloud, MN
Past
February 26, 2018 - August 24, 2018
TD AMERITRADE, INC.
BD
CRD#: 7870
ST. CLOUD, MN
Past
April 20, 2017 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
June 22, 2007 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
ST. CLOUD, MN
Past
June 28, 2004 - June 21, 2007
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
ST. CLOUD, MN
Past
March 29, 2004 - June 21, 2007
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
March 29, 2004 - June 21, 2007
GUARANTY BROKERAGE SERVICES, INC.
BD
CRD#: 23302
ST. CLOUD, MN
Past
March 25, 2003 - March 30, 2004
SLD AMERICA EQUITIES, INC.
BD
CRD#: 36259
WEST CHESTER, PA
Past
August 19, 2002 - March 7, 2003
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
BLOOMINGTON, MN
Past
April 19, 2002 - March 7, 2003
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
July 14, 2000 - March 7, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
Alaska(12/16/2024)
RR
Arizona(12/16/2024)
RR
Florida(12/16/2024)
RR
Hawaii(12/16/2024)
RR
Idaho(12/16/2024)
RR
Minnesota(12/16/2024)
IAR
Minnesota(12/16/2024)
RR
New Mexico(12/16/2024)
RR
North Dakota(7/7/2025)
RR
Texas(7/7/2025)
IAR
Texas(7/7/2025)
RR
Wisconsin(12/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Saint Cloud, MN 56301TRUST BUT VERIFY
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