Rachel D. Waldo

PRINCIPAL ADVISED SERVICES

Des Moines, IA 50392

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CRD#: 4586334

Professional summary

Rachel Dawn Waldo, who also goes by Rachel Dawn Knudsen, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Des Moines, Iowa and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.

Rachel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Rachel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Aliases

Rachel Dawn Knudsen

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.

**MAIN STREET DANCE STUDIOS POSITION: Front Desk NATURE: Dance INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 09/07/2021 ADDRESS: 310 W Main St, Panora IA 50216, United States DESCRIPTION: Responsible for taking attendance, answering questions, lining up children for class, measuring for costumes. **PRINCIPAL ADVISED SERVICES POSITION: Manager Principal Connection NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 09/23/2024 ADDRESS: 711 High St, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **LAKE PANORAMA ASSOCIATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 04/23/2024 ADDRESS: 5006 Panorama Dr, Panora IA 50216, United States DESCRIPTION: I will be a board member for a private lake in Iowa. I will vote on rules and regulations and projects for the maintenance and growth of the Lake Panorama Association. **PRINCIPAL BANK POSITION: AVP - Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/15/2004 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products. **LAKE PANORAMA NATIONAL POSITION: Administrator NATURE: Administrative INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 0 START DATE: 04/11/2026 ADDRESS: 6616 Panorama Rd, Panora IA 50216, United States DESCRIPTION: Cashier and ranger at a golf course seasonally in the evenings and weekends.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Dawn Waldo's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 29, 2024 - Present

PRINCIPAL ADVISED SERVICES

Office #1: 710 9th St, Des Moines, IA 50392

RIA

CRD#: 297324

Des Moines, IA

Current

April 12, 2004 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392

RIA

CRD#: 1137

DES MOINES, IA

Past

August 27, 2004 - November 26, 2023

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DES MOINES, IA

Past

November 13, 2002 - February 17, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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 ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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.

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

Alabama
(7/14/2022)

Alaska
(7/14/2022)

Arizona
(7/14/2022)

Arkansas
(7/14/2022)

California
(7/14/2022)

Colorado
(7/14/2022)

Connecticut
(7/14/2022)

Delaware
(7/14/2022)

District of Columbia
(7/14/2022)

Florida
(7/14/2022)

Georgia
(7/14/2022)

Hawaii
(7/14/2022)

Idaho
(7/14/2022)

Illinois
(7/14/2022)

Indiana
(7/14/2022)

Iowa
(4/12/2004)

IAR

Iowa
(8/29/2024)

Kansas
(7/14/2022)

Kentucky
(7/14/2022)

Louisiana
(7/14/2022)

Maine
(7/14/2022)

Maryland
(7/14/2022)

Massachusetts
(5/13/2021)

Michigan
(7/14/2022)

Minnesota
(7/14/2022)

Mississippi
(7/14/2022)

Missouri
(7/14/2022)

Montana
(7/14/2022)

Nebraska
(7/14/2022)

Nevada
(7/14/2022)

New Hampshire
(7/14/2022)

New Jersey
(7/14/2022)

New Mexico
(7/14/2022)

New York
(7/14/2022)

North Carolina
(7/14/2022)

North Dakota
(7/14/2022)

Ohio
(7/14/2022)

Oklahoma
(7/14/2022)

Oregon
(7/14/2022)

Pennsylvania
(7/14/2022)

Rhode Island
(7/14/2022)

South Carolina
(7/14/2022)

South Dakota
(7/14/2022)

Tennessee
(7/14/2022)

Texas
(7/14/2022)

Utah
(7/14/2022)

Vermont
(7/14/2022)

Virginia
(7/14/2022)

Washington
(7/14/2022)

West Virginia
(7/14/2022)

Wisconsin
(7/14/2022)

Wyoming
(7/14/2022)

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

State Security Law Exam

IAR

Series 65

Date: 8/26/2004

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/16/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/12/2002

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/17/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

655 9th Street, Des Moines, IA 50309

Mailing Address

711 High Street, Des Moines, IA 50392

Phone number

(866) 412-0770

Established

Firm type

Fiscal year end

# of Employees

343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (1/2/2026)

PRINCIPAL ADVISED SERVICES TARGET MY RETIREMENT ADV PART 2A BROCHURE (1/2/2026)

PAS ADV 2A ADVICE BROCHURE (1/2/2026)

Regulatory assets under management

Total Number of Accounts	16,940
AUM (Assets Under Management)	$ 887,316,440

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/20/2023	Cover Page	Report
09/22/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Rachel D. Waldo

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rachel Dawn Waldo's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

EDWARD JONES

Primary Firm SEC Registration

PRINCIPAL ADVISED SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/2004

Series 63

Date: 11/16/2002

SIE

Date: 10/1/2018

Series 7

Date: 11/12/2002

Series 24

Date: 1/17/2019

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ADVISED SERVICES

TRUST BUT VERIFY

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