CH
Clint D. Hinderaker
PRINCIPAL SECURITIES
Hiawatha, IA 52233
Some features on this profile are disabled
CRD#: 4819652
CH
Professional summary
Clint David Hinderaker, who also goes by Clint David Hinderaker Mr., is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Hiawatha, Iowa.
Clint is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Clint has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Clint David Hinderaker Mr.
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.
***Outside Insurance; Investment Related; Cedar Rapids, IA; Sales of fixed life insurance, fixed annuities, disability insurance and long term care insurance through various carriers; Sales of fixed life insurance, fixed annuities, disability insurance and long term care insurance through various carriers; Start Date: 05/01/2003; 5 hrs per month; 5 during trading hours. TIPTON YOUTH BASKETBALL ASSOCIATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/16/2023 ADDRESS: 106 Elizabeth Dr., Tipton IA 52772, United States DESCRIPTION: Association organizes the boys and girls youth basketball for grades 3 through 8 in Tipton Iowa for the area youth. team formation, coaching, tournament organization and outside tournament scheduling. TIPTON GOLD YOUTH BASEBALL POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/16/2023 ADDRESS: 106 Elizabeth Dr., Tipton IA 52772, United States DESCRIPTION: organization organizes youth baseball teams for area youth between the ages of 8 and 14. Duties include team formation, coaching decisions, tournament scheduling, and putting on one home tournament a year for all age groups.
CRS (Client Relationship Summary) - RIA
Click below to view Clint David Hinderaker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Clint David Hinderaker'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
April 16, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1059 Longfellow Dr Ste A, Hiawatha, IA 52233RIA
BD
CRD#: 1137
Hiawatha, IA
Current
April 6, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1059 Longfellow Dr Ste A, Hiawatha, IA 52233RIA
BD
CRD#: 1137
Hiawatha, IA
Past
May 8, 2014 - April 7, 2015
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
NORTH LIBERTY, IA
Past
April 29, 2014 - April 7, 2015
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
NORTH LIBERTY, IA
Past
October 23, 2013 - April 21, 2014
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
IOWA CITY, IA
Past
May 2, 2008 - April 21, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
IOWA CITY, IA
Past
September 3, 2004 - April 17, 2008
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
CLIVE, IA
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
Arizona(2/8/2018)
RR
Arkansas(2/9/2018)
RR
California(2/7/2018)
RR
Colorado(4/13/2015)
RR
Florida(4/29/2015)
RR
Illinois(2/9/2018)
RR
Iowa(4/7/2015)
IAR
Iowa(4/16/2015)
RR
Massachusetts(12/7/2020)
RR
Michigan(2/9/2018)
RR
Minnesota(2/2/2017)
RR
Missouri(8/8/2018)
RR
Nebraska(2/24/2025)
RR
Ohio(2/7/2018)
RR
Oklahoma(9/24/2025)
RR
Oregon(1/6/2016)
RR
South Dakota(9/23/2022)
RR
Texas(2/7/2018)
IAR
Texas(6/17/2021)
RR
Utah(6/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
