EW
Erin R. Walters
PRINCIPAL SECURITIES
APPLETON, WI
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CRD#: 5005776
EW
Professional summary
Erin Rachelle Walters, who also goes by Erin R O'brien, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Appleton, Wisconsin.
Erin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Erin has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erin R O'brien
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.
HIGH POINT DESIGN AND PRINTING POSITION: Partner Member NATURE: Printing company INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/07/2022 ADDRESS: 5212 N ROSEMARY DR, APPLETON WI 54913, United States DESCRIPTION: Printing company that my husband owns and therefor I am a member partner
CRS (Client Relationship Summary) - RIA
Click below to view Erin Rachelle Walters's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erin Rachelle Walters'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 13, 2020 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
APPLETON, WI
Current
March 9, 2020 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
February 6, 2018 - February 18, 2020
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
Past
July 18, 2017 - November 21, 2017
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
May 21, 2014 - December 31, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
HARRISON, NY
Past
December 3, 2013 - April 30, 2014
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
CLEVELAND, OH
Past
November 7, 2013 - April 30, 2014
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
CLEVELAND, OH
Past
August 10, 2005 - September 1, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
APPLETON, WI
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(10/2/2024)
RR
California(7/25/2024)
RR
Delaware(4/12/2024)
RR
Florida(6/5/2025)
RR
Illinois(3/8/2023)
RR
Indiana(3/8/2023)
RR
Iowa(2/2/2023)
RR
Michigan(3/9/2020)
RR
Minnesota(3/15/2023)
RR
Missouri(3/6/2024)
RR
New Jersey(4/4/2025)
RR
New Mexico(9/18/2025)
RR
Ohio(4/12/2024)
RR
South Carolina(9/2/2025)
RR
Texas(1/27/2025)
IAR
Texas(1/27/2025)
RR
Virginia(3/7/2025)
RR
Wisconsin(3/9/2020)
IAR
Wisconsin(4/13/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
