RT
Rodney E. Thornton
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CRD#: 446451
RT
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rodney Earl Thornton, AIF®, ChFC®, CLU® was a registered financial professional .
Rodney is a previously registered financial professional and started their career in finance in 1973. Rodney had worked at 5 firms and has passed the Series 65, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
**Fixed Insurance, Life, DI, Group, Annuities, LTC, 10/13/17, Investment Related: Y, Hours Per Month: 20.***Central Valley Community Foundation; Not Investment Related; Fresno, CA; Board Chairman; Non-voting member of the committees conduct board, attend meetings, represent the foundation in the community.; Start Date: 02/15/2016; 5 hrs per month; 5 during trading hours. **HUNTINGTON HOMEOWNERS ASSOCIATION POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2022 ADDRESS: 12592 Valley Vista Lane, Fresno CA 93730, United States DESCRIPTION: I will serve as Treasurer of the organization, reviewing the financial statements, checking account reconciliation, and bill payments which are made by an outside service. **HUNTINGTON HOMEOWNERS ASSOCIATION POSITION: Board member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 09/15/2022 ADDRESS: 12592 Valley Vista Lane, Fresno CA 93730, United States DESCRIPTION: I will serve as an "at large" Board member, no Longer as Treasurer. I will not have check signing ability and will only participate in review of financial statements as a Board member. I will participate in investment discussions as a Board member but the Association investments are only money market, saving, and CD accounts. **CENTRAL VALLEY COMMUNITY FOUNDATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 01/01/2023 ADDRESS: 12592 Valley Vista Lane, Fresno CA 93730, United States DESCRIPTION: Effective January 1st I will no longer serve as Board Chair. I willremainon the Board and serve as a Board member at large. I will sit on the investment committee and participate in conversations but I will not handle any transactions. **CENTRAL VALLEY STRATEGIC WEALTH MANAGEMENT AND INSURANCE SERVICES POSITION: Share holder NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 06/05/2024 ADDRESS: 1010 W. Alluvial STE 111, Fresno CA 93711, United States DESCRIPTION: This is an entity for the sole purpose of serving our advisor team as an employer of our staff, paying entity of our group expenses, and handling each of the partners shares of monthly and annual expenses.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Past
April 15, 2002 - July 31, 2025
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Fresno, CA
Past
July 25, 1978 - July 31, 2025
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Fresno, CA
Past
May 12, 1977 - March 16, 1978
FINANCIAL INDUSTRIES SECURITIES CORPORATION
BD
CRD#: 6592
Past
December 10, 1975 - December 26, 1976
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
Past
December 10, 1975 - December 26, 1976
OSAIC FA, INC.
BD
CRD#: 3978
Past
February 23, 1973 - October 10, 1975
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 5496
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 2/17/1973
Registered Representative ExaminationPrincipal/Supervisory Exam
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.
