Paul S. Van Ginhoven
Professional summary
Paul Scott Van Ginhoven, who also goes by Paul Vanginhoven, Paul Scott Van Ginhoven, Paul Scott Vanginhoven, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2006. Paul has worked at 12 firms and has passed the Series 66, Series 63, Series 52TO, Series 99TO, Series 7TO, Series 6TO, SIE, Series 7, Series 6, Series 24, Series 10, Series 9, Series 26 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Scott Van Ginhoven's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 4, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392February 6, 2019 - September 3, 2021
BARNABAS CAPITAL, LLC
March 21, 2018 - August 30, 2019
FIG ADVISORY SERVICES, LLC
January 4, 2017 - February 24, 2017
TLG ADVISORS, INC.
January 3, 2017 - November 20, 2017
THE LEADERS GROUP, INC.
November 14, 2014 - June 22, 2015
LPL FINANCIAL LLC
November 14, 2014 - June 22, 2015
LPL FINANCIAL LLC
August 4, 2014 - November 12, 2014
TEACHERS PERSONAL INVESTORS SERVICES, INC.
October 4, 2013 - November 12, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 4, 2013 - November 12, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 17, 2011 - September 27, 2013
ALIGHT FINANCIAL ADVISORS, LLC
November 2, 2010 - May 24, 2011
ALIGHT FINANCIAL SOLUTIONS, LLC
November 2, 2010 - September 27, 2013
ALIGHT FINANCIAL SOLUTIONS, LLC
January 26, 2009 - October 27, 2010
LPL FINANCIAL LLC
June 12, 2007 - October 27, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
June 12, 2007 - October 27, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
January 11, 2006 - May 30, 2007
IFMG SECURITIES, 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
(10/5/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 11/2/2022
General Securities Representative ExaminationSeries 6TO
Date: 11/2/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Des Moines, IA 50392TRUST BUT VERIFY
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