Richard M. Decker
Professional summary
Richard Matthew Decker, CFP®, who also goes by Richard M Decker, Richard Matt Decker, Richard Matthew Decker, Richard Decker, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lutz, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Matthew Decker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Matthew Decker's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2023 - Present
PRINCIPAL SECURITIES, INC.
December 22, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3500 Blue Lake Dr Ste 280, Birmingham, AL 35243January 13, 2020 - December 16, 2022
LPL FINANCIAL LLC
January 13, 2020 - December 16, 2022
LPL FINANCIAL LLC
May 10, 2018 - December 11, 2019
RAYMOND JAMES & ASSOCIATES, INC.
May 9, 2018 - December 11, 2019
RAYMOND JAMES & ASSOCIATES, INC.
July 18, 2017 - December 11, 2019
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 7, 2017 - December 11, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 10, 2014 - June 8, 2017
USAA FINANCIAL PLANNING SERVICES
March 5, 2014 - June 8, 2017
USAA FINANCIAL ADVISORS, INC.
July 25, 2013 - December 17, 2013
DARWIN WEALTH MANAGEMENT
June 28, 2011 - January 27, 2014
TRUSTMONT ADVISORY GROUP, INC.
March 13, 2008 - July 31, 2013
TRUSTMONT FINANCIAL GROUP, INC.
April 20, 2007 - September 13, 2007
E*TRADE SECURITIES LLC
December 8, 2006 - March 20, 2007
T. ROWE PRICE INVESTMENT SERVICES, 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
(12/22/2022)
(1/3/2023)
(12/22/2022)
Exams
FINRA
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.
