DR
David E. Ratcliffe
PRINCIPAL SECURITIES
Winston Salem, NC 27103
Some features on this profile are disabled
CRD#: 5210808
DR
Professional summary
David Earl Ratcliffe, who also goes by David Ratcliffe, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Winston Salem, North Carolina.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. David has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Ratcliffe
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.
***RENTAL PROPERTY, OWN A RENTAL PROPERTY IN NC,10/10. ***FIXED INSURANCE; FIXED LIFE, FIXED ANNUITIES, DI AND LTC; 06/22/2016. DAVID RATCLIFFE POSITION: Playwright NATURE: Compensation from playwriting INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 10/23/2023 ADDRESS: 927 RIDGE GATE DR, LEWISVILLE NC 27023-8690, United States DESCRIPTION: As a hobby I have written plays. One has been produced (for which there was no compensation) but it is being produced by another theater company and compensation will be involved. Additionally I have participated in some contests that have compensation
CRS (Client Relationship Summary) - RIA
Click below to view David Earl Ratcliffe's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Earl Ratcliffe'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
June 1, 2009 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2990 Bethesda Pl Ste 601a, Winston Salem, NC 27103RIA
BD
CRD#: 1137
Winston Salem, NC
Current
May 27, 2009 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2990 Bethesda Pl Ste 601a, Winston Salem, NC 27103RIA
BD
CRD#: 1137
Winston Salem, NC
Past
November 14, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
WINSTON-SALEM, NC
Past
October 24, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WINSTON-SALEM, NC
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(4/8/2025)
RR
Florida(3/10/2017)
RR
Kentucky(11/13/2023)
RR
Maryland(4/10/2017)
RR
New York(10/22/2020)
RR
North Carolina(5/27/2009)
IAR
North Carolina(6/1/2009)
RR
Pennsylvania(9/9/2024)
RR
South Carolina(5/27/2009)
RR
Virginia(4/30/2013)
RR
West Virginia(9/10/2021)
Exams
State Security Law 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 1137Winston Salem, NC 27103TRUST BUT VERIFY
Monitor David Ratcliffe
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
