MS
Mark R. Schubert
PRINCIPAL SECURITIES
BAYTOWN, TX
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CRD#: 4661886
MS
Professional summary
Mark Robert Schubert, who also goes by Robbie Schubert, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Baytown, Texas.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mark has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robbie Schubert
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.
**STOCK PHOTOGRAPHY, LIST SOME OF ORIGINAL PHOTOGRAPHY WORK ON STOCK PHOTOGRAPHY WEBSITES. THE IMAGE RIGHTS ARE BOUGHT BE COMPANIES, AD AGENCIES, ETC. FOR USE IN ADVERTISING, WEB DESIGN AND LITERATURE. IMAGES ARE ROYALTY FREE AND DO NOT CONTAIN ANY TRADEMARK OR COPYRIGHTED SEGMENTS, 8/9/13. **Fixed Insurance; Investment Related; Houston, TX; Agent; Life, Annuities, LTC, DI, Health; Start Date: 07/15/2003; 40 hrs per month; 20 during trading hours. **Fixed Insurance; Investment Related; Houston, TX; Agent; Group Insurance; Start Date: 07/01/2003; 40 hrs per month; 20 during trading hours. **SCHUBERT FINANCIAL GROUP POSITION: Owner/CEO NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2022 ADDRESS: 1900 West Loop South, Suite 400, Houston TX 77027, United States DESCRIPTION: Through my CPA we are setting up an S-corp and LLC for tax purposes. I am not using Schubert Financial Group with clients or prospects. **LEAGUE CITY ROTARY CLUB POSITION: President-Elect NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 10/01/2025 ADDRESS: 131 League St, League City TX 77573, United States DESCRIPTION: I will be leading our monthly service projects that include meal distributions for needy families, flu shot clinics, and book donations for local schools. My main duty is getting volunteers from the club to attend the events and help.
CRS (Client Relationship Summary) - RIA
Click below to view Mark Robert Schubert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark Robert Schubert'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
December 22, 2010 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 1900 West Loop S Ste 650a, Houston, TX 77027RIA
BD
CRD#: 1137
BAYTOWN, TX
Current
December 10, 2010 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1900 West Loop S Ste 650a, Houston, TX 77027RIA
BD
CRD#: 1137
Houston, TX
Past
October 9, 2009 - November 29, 2010
INVESTMENT PROFESSIONALS, INC.
RIA
CRD#: 30184
FRIENDSWOOD, TX
Past
October 9, 2009 - November 29, 2010
INVESTMENT PROFESSIONALS, INC.
BD
CRD#: 30184
FRIENDSWOOD, TX
Past
August 15, 2003 - October 13, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HOUSTON, TX
Past
June 27, 2003 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
June 27, 2003 - October 13, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HOUSTON, TX
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
Alaska(8/19/2016)
RR
Arizona(4/5/2023)
RR
Arkansas(6/7/2016)
RR
California(4/29/2025)
RR
Colorado(4/29/2025)
RR
Connecticut(2/25/2019)
RR
Florida(6/7/2016)
RR
Georgia(4/29/2025)
RR
Illinois(4/29/2025)
RR
Kansas(10/15/2020)
RR
Louisiana(7/11/2016)
RR
Maryland(11/18/2016)
RR
Michigan(4/22/2025)
RR
Missouri(10/16/2021)
RR
Nebraska(11/4/2016)
RR
North Carolina(7/11/2017)
RR
South Carolina(6/7/2016)
RR
Tennessee(1/27/2021)
RR
Texas(12/10/2010)
IAR
Texas(12/22/2010)
RR
Washington(6/7/2016)
RR
Wisconsin(6/7/2016)
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.
