Richard H. Addy
Professional summary
Richard H Addy, who also goes by Richard Addy, Rick Addy, Richard Harrison Addy, Richard Addy, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Irmo, South Carolina.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Richard has worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard H Addy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard H Addy's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2023 - Present
PRINCIPAL SECURITIES, INC.
October 17, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392June 21, 2023 - October 5, 2023
TD PRIVATE CLIENT WEALTH LLC
June 21, 2023 - October 5, 2023
TD PRIVATE CLIENT WEALTH LLC
May 18, 2022 - July 5, 2023
LPL FINANCIAL LLC
May 18, 2022 - July 5, 2023
LPL FINANCIAL LLC
November 15, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
October 4, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
October 10, 2017 - November 8, 2019
ATHENE SECURITIES, LLC
March 7, 2017 - October 11, 2017
TD AMERITRADE, INC.
March 7, 2017 - October 11, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 28, 2016 - October 11, 2017
TD AMERITRADE, INC.
November 18, 2014 - July 6, 2015
EMPOWER FINANCIAL SERVICES, INC.
November 7, 2011 - December 19, 2013
ADVISORS ASSET MANAGEMENT, INC.
August 31, 2011 - December 19, 2013
ADVISORS ASSET MANAGEMENT, INC.
May 10, 2011 - September 16, 2011
BIC DISTRIBUTORS, LLC
March 13, 2007 - May 22, 2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 14, 2006 - February 10, 2007
UVEST FINANCIAL SERVICES GROUP, INC.
September 13, 2005 - November 13, 2006
GLOBAL ATLANTIC DISTRIBUTORS, LLC
February 14, 2003 - April 26, 2005
BB&T INVESTMENT SERVICES, INC.
September 5, 2001 - February 10, 2003
EDWARD JONES
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/17/2023)
(10/17/2023)
(10/17/2023)
(10/17/2023)
(10/17/2023)
(10/18/2023)
(10/17/2023)
(10/17/2023)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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 |
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.
