Charles D. Welsheimer
Professional summary
Charles David Welsheimer, who also goes by C. David Welsheimer, Dave Welsheimer, David Welsheimer, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Anderson, Indiana.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1971. Charles has worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles David Welsheimer's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2024 - Present
PRINCIPAL SECURITIES, INC.
January 21, 2015 - March 13, 2024
THE O.N. EQUITY SALES COMPANY
April 2, 2009 - December 31, 2014
ON INVESTMENT MANAGEMENT CO
March 31, 2009 - December 31, 2014
THE O.N. EQUITY SALES COMPANY
July 2, 2004 - April 6, 2009
FSC SECURITIES CORPORATION
February 6, 2004 - September 29, 2006
MCF ADVISORS, LLC
July 14, 2003 - March 12, 2004
MID CENTRAL FINANCIAL ADVISORS, INC.
March 25, 2003 - April 6, 2009
FSC SECURITIES CORPORATION
April 26, 2002 - March 26, 2003
MML INVESTORS SERVICES, LLC
April 26, 2002 - March 26, 2003
MML INVESTORS SERVICES, LLC
October 2, 1996 - November 25, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 1, 1996 - March 7, 2002
MML INVESTORS SERVICES, LLC
October 8, 1992 - March 1, 1996
G. R. PHELPS & CO., INC.
March 14, 1991 - September 24, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 14, 1991 - September 24, 1992
OSAIC FA, INC.
February 9, 1981 - December 31, 1990
G. R. PHELPS & CO., INC.
October 5, 1976 - September 27, 1977
THE O.N. EQUITY SALES COMPANY
March 4, 1971 - October 10, 1975
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/7/2024)
(3/7/2024)
(3/7/2024)
Exams
Series 1
Date: 2/27/1971
Registered Representative ExaminationFINRA
Current Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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.
