Claude D. Gianetto
Professional summary
Claude Daniel Gianetto, who also goes by Claude Gianetto, Dan Gianetto, Claude Daniel Gianetto, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in St. Louis, Missouri and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Claude is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Claude has worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Claude Daniel Gianetto's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 14, 2024 - Present
PRINCIPAL ADVISED SERVICES
October 2, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392March 2, 2022 - April 5, 2024
CITIGROUP GLOBAL MARKETS INC.
March 2, 2022 - April 5, 2024
CITIGROUP GLOBAL MARKETS INC.
August 22, 2018 - February 23, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 22, 2018 - February 23, 2022
WELLS FARGO CLEARING SERVICES, LLC
March 16, 2018 - April 2, 2018
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 15, 2018 - April 2, 2018
TD AMERITRADE, INC.
February 26, 2018 - April 2, 2018
TD AMERITRADE, INC.
May 31, 2016 - March 24, 2018
SCOTTRADE INVESTMENT MANAGEMENT
August 10, 2004 - February 26, 2018
SCOTTRADE, INC.
August 17, 2001 - August 10, 2004
E*TRADE SECURITIES LLC
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
(7/31/2025)
(7/31/2025)
(7/31/2025)
(7/31/2025)
(10/2/2024)
(10/16/2024)
(7/31/2025)
(10/2/2024)
(10/14/2024)
(7/24/2025)
(7/31/2025)
(7/31/2025)
(7/31/2025)
(7/31/2025)
(7/31/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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 |
Red Flags
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