DH
David T. Howell
PRINCIPAL SECURITIES
Brentwood, TN 37027
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CRD#: 4551816
DH
Professional summary
David Thomas Howell, AIF®, CFP®, ChFC®, CLU® is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Brentwood, Tennessee.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. David has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
*OUTSIDE INSURANCE; BROKER; LIFE, HEALTH, DI, LTC, FIXED ANNUITY; 06/10/2014 *KAPLAN/BELMONT UNIVERSITY; TEACHING PORTION OF CFP CURRICULUM; 06/10/2014. ***LIGHTHOUSE ADVISORS, LLC, CREATED LLC FOR PURPOSES OF HIRING STAFF. NO INSURANCE/SECURITIES BUSINESS DONE THROUGH ENTITY, 5/19/15. SHOWCASE BASEBALL POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 08/02/2021 ADDRESS: 121 Seaborad Ln, Franklin TN 37067, United States DESCRIPTION: board member involved in decisions for the non profit on operations of 18 teams playing baseball. one of 15 board members voting on baseball operations anda physical location owned by the non profit for practice. No customers served and no product related to securities or insurance. DLH PROPERTIES, LLC POSITION: Owner NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/04/2016 ADDRESS: 1913 Lone Oak Circle, Nashville TN 37215, United States DESCRIPTION: LLC to hold personally owned rental properties
CRS (Client Relationship Summary) - RIA
Click below to view David Thomas Howell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Thomas Howell'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: 2008
Experience
Current
June 10, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 155 Franklin Rd Ste 100, Brentwood, TN 37027RIA
BD
CRD#: 1137
Brentwood, TN
Current
May 28, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 155 Franklin Rd Ste 100, Brentwood, TN 37027RIA
BD
CRD#: 1137
Brentwood, TN
Past
May 10, 2005 - June 6, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BRENTWOOD, TN
Past
May 9, 2005 - June 6, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BRENTWOOD, TN
Past
February 12, 2003 - April 21, 2005
NEW ENGLAND SECURITIES
RIA
CRD#: 615
WEST DES MOINES, IA
Past
July 9, 2002 - April 21, 2005
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
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(4/14/2023)
RR
California(1/7/2015)
RR
Connecticut(7/14/2022)
RR
Florida(5/28/2014)
RR
Georgia(6/20/2018)
RR
Illinois(5/28/2014)
RR
Indiana(7/14/2022)
RR
Iowa(5/28/2014)
RR
Kansas(5/28/2014)
RR
Kentucky(5/28/2014)
RR
Mississippi(10/31/2025)
RR
New Jersey(4/2/2025)
RR
New Mexico(5/28/2014)
RR
New York(1/27/2016)
RR
North Carolina(1/9/2019)
RR
Ohio(9/14/2017)
RR
Pennsylvania(1/19/2021)
RR
South Carolina(4/22/2022)
RR
Tennessee(5/28/2014)
IAR
Tennessee(6/10/2014)
RR
Texas(2/22/2019)
IAR
Texas(3/5/2021)
RR
Virginia(11/30/2016)
RR
Wisconsin(5/28/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO 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.
