Tate L. Blomquist
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Tate Lydia Blomquist, who also goes by Tate L Blomquist, Tate Lydia Blomquist, was a registered financial professional .
Tate is a previously registered financial professional and started their career in finance in 2004. Tate had worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2023 - July 15, 2024
PRINCIPAL SECURITIES, INC.
February 3, 2023 - July 15, 2024
PRINCIPAL SECURITIES, INC.
October 2, 2018 - January 9, 2023
NEWPORT GROUP CONSULTING, LLC
September 28, 2018 - January 9, 2023
NEWPORT GROUP SECURITIES, INC.
January 26, 2017 - July 10, 2017
STONEBRIDGE FINANCIAL PLANNING GROUP, LLC
November 14, 2016 - July 10, 2017
TRIAD ADVISORS LLC
June 23, 2016 - December 1, 2016
LAMCO ADVISORY SERVICES INC.
August 2, 2013 - October 6, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
July 15, 2013 - October 6, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
May 5, 2009 - March 2, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
April 28, 2009 - March 2, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 2005 - December 15, 2008
VALIC FINANCIAL ADVISORS, INC.
September 2, 2004 - December 15, 2008
VALIC FINANCIAL ADVISORS, INC.
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
Exams
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.
