ZE
Zachary Elinich
PRINCIPAL SECURITIES
OREFIELD, PA
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CRD#: 4688027
ZE
Professional summary
Zachary Elinich, who also goes by Zach Elinich, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Orefield, Pennsylvania.
Zachary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Zachary has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Zach Elinich
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Zachary Elinich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Zachary Elinich'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
October 12, 2020 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
OREFIELD, PA
Current
October 9, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
September 25, 2015 - January 19, 2018
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
JENKINTOWN, PA
Past
August 26, 2015 - January 19, 2018
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
JENKINTOWN, PA
Past
August 15, 2011 - July 11, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
HONOLULU, HI
Past
August 15, 2011 - July 11, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
HONOLULU, HI
Past
June 1, 2009 - April 21, 2011
MORGAN STANLEY
RIA
CRD#: 149777
HONOLULU, HI
Past
June 1, 2009 - April 21, 2011
MORGAN STANLEY
BD
CRD#: 149777
HONOLULU, HI
Past
July 2, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
HONOLULU, HI
Past
July 2, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
HONOLULU, HI
Past
June 25, 2007 - June 3, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
RADNOR, PA
Past
June 25, 2007 - June 3, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
April 9, 2007 - May 3, 2007
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
PHILADELPHIA, PA
Past
February 26, 2007 - May 3, 2007
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
PHILADELPHIA, PA
Past
September 16, 2003 - January 8, 2007
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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
IAR
Pennsylvania(10/12/2020)
RR
Pennsylvania(10/16/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
