Alison Kline Smith
Professional Summary
Alison Kline Smith, who also goes by Alison Catherine Kline, Alison Catherine Smith, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wilton, Connecticut. Alison is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Alison has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alison Catherine Kline, Alison Catherine Smith
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
25 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
Contact Information
Main Address
711 High Street, Des Moines, IA 50392Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080Phone Number
(888) 774-6267Established
Iowa since 05/01/1968Firm Type
CorporationFiscal Year End
DecemberFirm Size
Large# of Employees
1,464SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 51 US 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
68,981AUM (Assets Under Management)
$17,024,265,096Disclosures
Regulatory Event
9Arbitration
3Bond
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2026 | Cover Page | Report |
| 09/26/2025 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
| 11/28/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
State Registrations and Notice Filings
(11/4/2022)
(7/18/2023)
(5/24/2023)
(11/4/2022)
(11/4/2022)
(9/13/2004)
(1/14/2005)
(12/6/2022)
(11/17/2022)
(11/4/2022)
(11/17/2022)
(8/18/2023)
(10/2/2026)
(11/4/2022)
(3/25/2024)
(12/6/2022)
(2/10/2023)
(4/10/2023)
(8/18/2023)
(2/14/2023)
(11/17/2022)
(11/4/2022)
(12/14/2022)
(8/18/2023)
(8/7/2024)
(9/19/2023)
(6/20/2025)
(12/6/2022)
(8/18/2023)
(11/4/2022)
(2/7/2005)
(3/28/2025)
(2/7/2005)
(6/30/2021)
(11/17/2022)
(9/30/2024)
(2/11/2023)
(6/1/2023)
(9/19/2023)
(10/3/2021)
(2/20/2024)
(8/18/2023)
(8/7/2024)
(8/18/2023)
(11/4/2022)
(11/7/2022)
(2/16/2023)
(2/10/2023)
(12/6/2022)
(2/17/2023)
(9/2/2025)
(12/6/2022)
(8/18/2023)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Alison Kline Smith's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Alison Kline Smith's CRS (Customer Relationship Summary).
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