RA
Ryan T. Anderson
PRINCIPAL SECURITIES
Sioux Falls, SD 57108
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CRD#: 4908100
RA
Professional summary
Ryan Thomas Anderson is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Sioux Falls, South Dakota.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ryan has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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 POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/04/2023 ADDRESS: 4910 S Isabel Pl, Ste 100, Sioux Falls SD 57108, United States DESCRIPTION: Writing outside Life, DI, LTC and Annuities. Group and Individual Health, Life, DI, Dental and Medical. **PARTY BIKE SIOUX FALLS POSITION: Pedal Pub Operator NATURE: Pedal Pub Operator INVESTMENT RELATED: No NUMBER OF HOURS: 12 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2024 ADDRESS: 110 S Reid St, Sioux Falls SD 57103, United States DESCRIPTION: I operate the pedal pub for tours throughout the downtown Sioux Falls area. They are 2 hours in length. I am paid a flat rate per tour, and tips. The owner is a friend, and when he needs help and my schedule allows, I will take on these tours as needed. **REGATTA 55 I, LLC POSITION: Real Estate NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/08/2021 ADDRESS: 8681 N Beach, Fort Worth TX 76244, United States DESCRIPTION: I invested in a 55 and older retirement community (Private Placement). The amount of the investment was $15,000 (3 equity shares). Upon the sale of the building, I will potentially receive money back from the entity if the sales price exceeds building costs and initial setup fees.
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Thomas Anderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryan Thomas Anderson'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 14, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4910 S Isabel Pl Ste 100, Sioux Falls, SD 57108RIA
BD
CRD#: 1137
Sioux Falls, SD
Current
December 12, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4910 S Isabel Pl Ste 100, Sioux Falls, SD 57108RIA
BD
CRD#: 1137
Sioux Falls, SD
Past
September 13, 2022 - December 6, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
SIOUX FALLS, SD
Past
August 4, 2022 - December 6, 2023
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
SIOUX FALLS, SD
Past
January 25, 2019 - July 13, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
SIOUX FALLS, SD
Past
January 25, 2006 - April 27, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
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
Florida(10/16/2025)
RR
Minnesota(5/28/2024)
RR
South Dakota(12/12/2023)
IAR
South Dakota(12/14/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/19/2022
General Securities Representative ExaminationGeneral 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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Sioux Falls, SD 57108TRUST BUT VERIFY
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