Lori S. Nadglowski
PRINCIPAL SECURITIES
Thonotosassa, FL
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CRD#: 4490966
Professional summary
Lori Suzanne Nadglowski, CFP®, who also goes by Lori Lang, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Thonotosassa, Florida.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Lori has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 28 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lori Lang
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.
**Outside Insurance; Investment Related; Thonotosassa, FL; Agent; Fixed LI, Annuities, Health, LTC, DI; Start Date: 12/01/2018; 8 hrs per month; 8 during trading hours. **Tampa Gator Club; Not Investment Related; Tampa, FL; VP; ensure all board members are current member, welcoming new members, promote UFAA membership through outreach to UFAA members as well as recently expired UFAA Members, Communicate with other area alumni groups.; Start Date: 09/01/2020; 2 hrs per month; 0 during trading hours. **LAUREL WEALTH MANAGEMENT POSITION: Owner NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 12/05/2018 ADDRESS: 10909 Brigann Yard Way, Thonotosassa FL 33592, United States DESCRIPTION: Wealth management firm providing financial planning, brokerage services, investment advisory and insurance. **UNITED WAY SUNCOAST POSITION: Committee Chair Women United NATURE: Volunteer INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: 10909 Brigann Yard Way, Thonotosassa FL 33592, United States DESCRIPTION: I am the Committee Chair for Women United, an affinity group for United Way Suncoast. The organization helps plan networking and volunteer events for Women United members. This is not a Board Member role.
CRS (Client Relationship Summary) - RIA
Click below to view Lori Suzanne Nadglowski's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lori Suzanne Nadglowski'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®
CFP®
Start date: 2015
Experience
Current
December 27, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 4830 W Kennedy Blvd Ste 550, Tampa, FL 33609RIA
BD
CRD#: 1137
Thonotosassa, FL
Current
November 30, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 4830 W Kennedy Blvd Ste 550, Tampa, FL 33609RIA
BD
CRD#: 1137
Thonotosassa, FL
Past
March 16, 2016 - December 17, 2018
INDEPENDENT FINANCIAL PARTNERS
RIA
CRD#: 125112
Thonotosassa, FL
Past
June 18, 2012 - February 1, 2016
WEALTH ADVISORS OF TAMPA BAY
RIA
CRD#: 162724
TAMPA, FL
Past
April 9, 2012 - December 11, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
TAMPA, FL
Past
November 20, 2003 - April 18, 2012
FLORIDA INVESTMENT ADVISORS
BD
CRD#: 109492
TAMPA, FL
Past
February 11, 2002 - November 20, 2003
FLORIDA INVESTMENT ADVISERS
BD
CRD#: 115107
TAMPA, FL
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
Alabama(8/28/2025)
RR
California(1/20/2022)
RR
Colorado(4/5/2024)
RR
District of Columbia(2/26/2025)
RR
Florida(12/21/2018)
IAR
Florida(12/27/2018)
RR
Georgia(8/14/2024)
RR
Illinois(2/3/2022)
RR
Indiana(12/14/2022)
RR
Kentucky(2/11/2021)
RR
Minnesota(10/10/2025)
RR
Nevada(9/4/2020)
RR
New Jersey(9/23/2022)
RR
New York(11/30/2018)
RR
North Carolina(3/2/2022)
RR
Tennessee(9/27/2022)
RR
Utah(1/16/2025)
RR
Virginia(2/25/2019)
RR
Washington(11/27/2023)
RR
Wisconsin(7/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 1/24/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationSRO 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.
