MS
Michael J. Simmons
PRINCIPAL SECURITIES
MURRAY, UT
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CRD#: 5003705
MS
Professional summary
Michael John Simmons, AIF®, who also goes by Michael J Simmons, Mick Simmons, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Murray, Utah.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael J Simmons | Mick Simmons
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 Michael John Simmons's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael John Simmons'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®
Experience
Current
October 12, 2021 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
MURRAY, UT
Current
August 11, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
August 16, 2021 - October 9, 2021
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Murray, UT
Past
January 27, 2021 - August 2, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
Murray, UT
Past
January 27, 2021 - August 2, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
Past
May 2, 2019 - December 31, 2020
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
August 27, 2014 - April 9, 2019
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Murray, UT
Past
October 4, 2013 - April 9, 2019
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
Murray, UT
Past
January 10, 2006 - October 3, 2013
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEW YORK, NY
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
Alaska(4/9/2024)
RR
Arizona(2/17/2023)
RR
California(2/9/2023)
RR
Colorado(6/26/2023)
RR
Connecticut(11/6/2024)
RR
Florida(10/8/2025)
RR
Georgia(12/9/2024)
RR
Idaho(8/11/2021)
RR
Illinois(4/7/2022)
RR
Kansas(12/13/2023)
RR
Louisiana(9/15/2025)
RR
Maine(11/12/2024)
RR
Missouri(12/12/2022)
RR
Montana(7/10/2024)
RR
Nebraska(8/4/2025)
RR
Nevada(8/11/2021)
RR
New Jersey(7/23/2024)
RR
New Mexico(8/11/2021)
RR
New York(8/23/2024)
RR
North Carolina(3/11/2023)
RR
Oregon(8/23/2024)
RR
Pennsylvania(11/4/2022)
RR
South Carolina(11/12/2024)
RR
South Dakota(10/22/2024)
RR
Texas(7/10/2024)
RR
Utah(8/11/2021)
IAR
Utah(10/12/2021)
RR
Virginia(11/3/2023)
RR
Washington(11/12/2024)
RR
Wyoming(8/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
