DB
Daniel R. Buehrle
PRINCIPAL SECURITIES
Wauwatosa, WI 53226
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CRD#: 4580417
DB
Professional summary
Daniel Roy John Buehrle is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wauwatosa, Wisconsin.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Daniel has worked at 1 firm and has passed the Series 66, Series 63, SIE, Series 7, Series 6 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. 01/16/20143 P&C INSURANCE AND MEDICARE SUPPLEMENT INSURANCE. **BAD PARTNERS, LLC, ONE OF THREE MANAGING MEMBERS OF THE LLC. BAD PARTNERS, LLC IS REPLACING BRIDGE VEBA WHICH WAS THE MARKETING ENTITY USED TO SELL ONE VEBA PLAN. NO MARKETING FOR SALES OF FUTURE VEBA PLANS IS OCCURRING, 11/21/14. **Childrens Hospital of Wisconsin Foundation; board member; 12/15/15. **YPO-WI; Not Investment Related; 10200 Innovation Dr, Suite 800, Milwaukee, WI 53226; New Member Chair; Helping onboard new members and invite them to YPO.; Start Date: 07/15/2018; 5 hrs per month; 0 during trading hours. **Fixed Insurance; Investment Related; Wauwatosa, WI; Agent; Sell Fixed life, Accident and Health, DI; Start Date: 07/15/2019; 40 hrs per month; 40 during trading hours. **THE PHOENIX BUSINESS COLLECTIVE POSITION: CEO NATURE: Supplier and Fulfillment audit INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 50 START DATE: 05/02/2025 ADDRESS: N83W31141 Kilbourne Rd., Hartland WI 53029, United States DESCRIPTION: The Phoenix Business Collective is a company that assists its members by leveraging their collective buying power to create efficiencies, increase value and identify exclusive opportunities and strategic advantages. Members of the collective, by working together, are able to create efficiencies, negotiate better terms and deliver access to premium services and resources to drive business growth. I am 80% owner of the entity along with Ashley Maher-Widen and John Fuchs each of whom own 10%.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Roy John Buehrle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Roy John Buehrle'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®
NoneExperience
Current
August 29, 2012 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226RIA
BD
CRD#: 1137
Wauwatosa, WI
Current
December 11, 2002 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 10361 W Innovation Dr Ste 300, Wauwatosa, WI 53226RIA
BD
CRD#: 1137
Wauwatosa, WI
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(8/25/2020)
RR
Alaska(8/25/2020)
RR
Arizona(11/15/2006)
RR
Arkansas(8/25/2020)
RR
California(8/25/2020)
RR
Colorado(1/3/2012)
RR
Connecticut(8/25/2020)
RR
Delaware(8/25/2020)
RR
District of Columbia(8/25/2020)
RR
Florida(6/13/2017)
RR
Georgia(1/25/2017)
RR
Hawaii(8/25/2020)
RR
Idaho(8/25/2020)
RR
Illinois(3/16/2004)
RR
Indiana(1/3/2012)
RR
Iowa(8/25/2020)
RR
Kansas(1/2/2015)
RR
Kentucky(8/25/2020)
RR
Louisiana(8/25/2020)
RR
Maine(8/25/2020)
RR
Maryland(8/25/2020)
RR
Massachusetts(9/29/2020)
RR
Michigan(12/18/2003)
RR
Minnesota(11/20/2015)
RR
Mississippi(1/12/2022)
RR
Missouri(11/25/2008)
RR
Montana(1/12/2022)
RR
Nebraska(8/25/2020)
RR
Nevada(11/25/2008)
RR
New Hampshire(1/7/2022)
RR
New Jersey(1/2/2018)
RR
New Mexico(1/12/2022)
RR
New York(6/27/2013)
RR
North Carolina(8/25/2020)
RR
North Dakota(8/25/2020)
RR
Ohio(7/28/2017)
RR
Oklahoma(8/25/2020)
RR
Oregon(10/16/2015)
RR
Pennsylvania(8/25/2020)
RR
Rhode Island(1/12/2022)
RR
South Carolina(12/12/2017)
RR
South Dakota(10/4/2023)
RR
Tennessee(1/6/2006)
RR
Texas(1/2/2003)
IAR
Texas(6/17/2021)
RR
Utah(1/12/2022)
RR
Vermont(11/6/2019)
RR
Virginia(8/25/2020)
RR
Washington(1/12/2022)
RR
West Virginia(10/4/2023)
RR
Wisconsin(3/19/2003)
IAR
Wisconsin(8/29/2012)
RR
Wyoming(1/12/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Wauwatosa, WI 53226TRUST BUT VERIFY
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