AW
Andrew D. Widman
PRINCIPAL SECURITIES
Overland Park, KS 66210
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CRD#: 5101098
AW
Professional summary
Andrew David Widman, who also goes by Andy David Widman, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Overland Park, Kansas.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Andrew has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andy David Widman
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.
**Gift Of Life KC; Not Investment Related; Overland Park, KC; Co-Chair; Co-Chair of Gift of Life annual fundraiser called Go See Do. I will be in charge o finding auction items, volunteers, and sponsors for the event. No soliciting of any clients.; Start Date: 08/15/2019; 3 hrs per month; 0 during trading hours. **Fixed Insurance; Investment Related; Overland Park, KS; Agent; Life, health, fixed annuities, LTC, DI, Health; Start Date: 03/01/2020; 2 hrs per month; 2 during trading hours. **P & C INSURANCE POSITION: Rep NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 03/01/2022 ADDRESS: 11101 Switzer Rd, Suite 100, Overland Park KS 66210, United States DESCRIPTION: I will be appointed to sell property and casualty products through In The Game Insurance Services. I will not be doing day to day operations or service. I will spend 1 hour weekly on this OBA. **GIFT OF LIFE KC POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 6405 Metcalf Avenue, Building #3 Suite 109, Overland Park KS 66202, United States DESCRIPTION: Board member for Organ Donation educational organization. Will be on the committee for event planning including their annual Life Saver Rally, Go See Do fund raiser and golf tournament, **GIFT OF LIFE KC POSITION: Vice President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 6405 Metcalf Ave, Building #3 Suite 109, Overland Park KS 66202, United States DESCRIPTION: Vice President of Board/Board member for organ donation educational organization. Member of Program committee and Board Development committee. **MIDWEST TRANSPLANT NETWORK POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 1900 W 47th Place, Westwood KS 66205, United States DESCRIPTION: 1. Fiduciary - dedication and duty of trust/loyalty to the organization 2. Attendance at meetings - quarterly (March, June, September, December) 3. As requested, participation on a committee - optional and rotating memberships 4. Organ and Tissue Donation Advocate - promotion on social media, etc. 5. Contributing to the mission, No financial contributions. 6. Membership on board of Green Ribbon Legacy - 501c3 supporting organization. Meetings held 2-4/year following Governing Board meeting. **SEVEN FORTY FIVE, LLC POSITION: President NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2025 ADDRESS: 11101 Switzer RD, Suite 100, Overland Park KS 66210, United States DESCRIPTION: Formed an LLC for tax purposes with my CPA. I do not use this LLC as a DBA. **ST. LUKE'S FOUNDATION POSITION: Heartland Gala Committee Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/09/2025 ADDRESS: 901 W 104th St, Suite 100, Kansas City MO 64114, United States DESCRIPTION: I will serve on a committee to plan and help raise money for St. Luke's Foundation at their Heartland Gala that will take place Nov 1, 2025.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew David Widman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrew David Widman'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
February 17, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11101 Switzer Rd Ste 100, Overland Park, KS 66210RIA
BD
CRD#: 1137
Overland Park, KS
Current
February 17, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11101 Switzer Rd Ste 100, Overland Park, KS 66210RIA
BD
CRD#: 1137
Overland Park, KS
Past
November 16, 2012 - January 30, 2015
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
OVERLAND PARK, KS
Past
August 14, 2012 - January 30, 2015
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
OVERLAND PARK, KS
Past
August 19, 2009 - August 8, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
OVERLAND PARK, KS
Past
March 30, 2006 - July 27, 2009
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
OVERLAND PARK, KS
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
Colorado(3/17/2021)
RR
Florida(6/4/2021)
RR
Idaho(7/10/2023)
RR
Illinois(9/20/2022)
RR
Indiana(9/20/2022)
RR
Iowa(8/27/2022)
RR
Kansas(2/17/2015)
IAR
Kansas(2/17/2015)
RR
Massachusetts(11/9/2018)
RR
Minnesota(12/9/2021)
RR
Missouri(2/17/2015)
RR
Nebraska(9/18/2021)
RR
Oklahoma(11/22/2020)
RR
South Dakota(3/24/2021)
RR
Texas(5/18/2015)
IAR
Texas(3/8/2021)
RR
Utah(9/18/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General 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#: 1137Overland Park, KS 66210TRUST BUT VERIFY
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