Jolene M. Rizk
Professional summary
Jolene Marie Rizk, who also goes by Jolene M Berres, Jolene Marie Berres, Jolene Marie Berres-tenbruin, Jolene Marie Carpenter, Jolene Marie Moser, Jolene Marie Moser-carpenter, Jolene Marie Rizk, Jolene Rizk, Jolene Marie Tenbruin, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Minnetonka, Minnesota.
Jolene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Jolene has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jolene Marie Rizk's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jolene Marie Rizk's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 5, 2024 - Present
PRINCIPAL SECURITIES, INC.
July 9, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392July 18, 2017 - June 25, 2021
WELLS FARGO CLEARING SERVICES, LLC
January 4, 2016 - July 7, 2017
RIVERSOURCE DISTRIBUTORS, INC.
July 9, 2013 - December 31, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
December 6, 2010 - January 21, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
March 26, 2008 - June 22, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
January 31, 2008 - March 28, 2008
WELLS FARGO INVESTMENTS, LLC
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
(7/9/2021)
(11/5/2024)
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.
