KN
Kenneth R. Nadeau
PRINCIPAL SECURITIES
Ocala, FL 34471
Some features on this profile are disabled
CRD#: 4626956
KN
Professional summary
Kenneth Robert Nadeau, who also goes by Kenneth Nadeau, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Ocala, Florida.
Kenneth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Kenneth has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kenneth Nadeau
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; Investment Related; ; Life, Annuities, DI, LTC; Sales; Start Date: ; na hrs per month; during trading hours. ***Wealth and Income Strategies, Inc; Not Investment Related; ; Owner/President of privately held Corporation Commissions for fixed insurance and group products are paid to corporation for tax purposes Corporation leases office building where my business is conducted, the corporation has subleased space to three ten; ; Start Date: ; na hrs per month; during trading hours. ***Group Benefits; Investment Related; 50 SE 16 Ave, Ocala, FL 34471; Group Benefits; Sales; Start Date: 12/04/2017; 160 hrs per month; 4 during trading hours. ***BNI Power Players of Marion County; Not Investment Related; 5 SE 17th St, Ocala, FL 34471; Board Member; Leadership support for the BNI group; Start Date: 10/01/2017; 4 hrs per month; 0 during trading hours. ***Magnolia Garden Villas Association (HOA); Not Investment Related; Belleview, FL; Board Member; Positions on the BOD for the HOA. Board typically decides budgeting, collecting dues, and spending funds to maintain the neighborhood. No check writing, handling of funds, or investment discussions.; Start Date: 01/01/2020; 1 hrs per month; 0 during trading hours. ***Crossfit Pinnacle; Not Investment Related; Ocala, FL; Trainer; Lead group crossfit classes, in exchange for gym dues reduction.; Start Date: 05/25/2021; 8 hrs per month; 0 during trading hours. ***WOODLAND VILLAGES HOA POSITION: Board member/Incoming President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/31/2022 ADDRESS: 1700 SE 24th Circle, Ocala FL 34471, United States DESCRIPTION: I will be a Board member and incoming President of this HOA. This HOA oversees the entire Woodland Village community, including the Magnolia Board, on which I am an already-approved Board member. ***BELLEVIEW / NINA AND KEN NADEAU POSITION: Sole Proprietors NATURE: Income from re-sale of retro/vintage items on Ebay INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 2421 SE 18th Circle, Ocala FL 34471, United States DESCRIPTION: My wife and I purchase vintage/retro items from estate sales and re-sell them on Ebay.
CRS (Client Relationship Summary) - RIA
Click below to view Kenneth Robert Nadeau's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kenneth Robert Nadeau'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
July 15, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 50 Se 16th Ave, Ocala, FL 34471RIA
BD
CRD#: 1137
Ocala, FL
Current
June 28, 2013 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 50 Se 16th Ave, Ocala, FL 34471RIA
BD
CRD#: 1137
Ocala, FL
Past
May 4, 2006 - June 5, 2013
NEW ENGLAND SECURITIES
RIA
CRD#: 615
OCALA, FL
Past
March 8, 2006 - June 5, 2013
NEW ENGLAND SECURITIES
BD
CRD#: 615
OCALA, FL
Past
September 2, 2004 - February 21, 2006
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
BELLEVIEW, FL
Past
February 17, 2003 - February 21, 2006
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(9/23/2022)
RR
Colorado(12/5/2022)
RR
Florida(7/15/2013)
IAR
Florida(7/15/2013)
RR
Georgia(1/4/2016)
RR
Kentucky(11/14/2017)
RR
Maryland(4/24/2020)
RR
Missouri(8/26/2021)
RR
North Carolina(1/29/2018)
RR
Ohio(4/12/2022)
RR
Pennsylvania(4/21/2016)
RR
South Carolina(6/11/2015)
RR
Texas(7/6/2016)
IAR
Texas(6/16/2021)
RR
West Virginia(8/21/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
