RB
Rosalyn K. Brown
PRINCIPAL SECURITIES
Washington, DC
Some features on this profile are disabled
CRD#: 5217317
RB
Professional summary
Rosalyn Kristina Brown, who also goes by Rosalyn Brown, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Washington, District Of Columbia.
Rosalyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Rosalyn has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rosalyn Brown
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.
**WIPN (WOMEN IN PENSION NETWORK) POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2024 ADDRESS: 1215 Simms Pl NE, Washington DC 20002, United States DESCRIPTION: President of WIPN and organization for women in the retirement industry. I lead the board and coordinate with the advisory board in planning and future efforts. **JUVEN POSITION: Rental Property NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 01/26/2021 ADDRESS: 1215 Simms Pl NE, Washington DC 20002, United States DESCRIPTION: Management of rental property. **BEANJO POSITION: Rental Property NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 1215 Simms Pl NE, Washington DC 20002, United States DESCRIPTION: Rental property. **SOW INCLUSIVE POSITION: Speaker NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/14/2023 ADDRESS: 1215 Simms Pl NE, Washington DC 20002, United States DESCRIPTION: I speak to groups on the benefits of having an inclusive team and how to engage diverse audiences. **ACADEMY OF HOPE POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 231518th Place NE, Washington DC 20002, United States DESCRIPTION: Board member for non-profit that focuses on adult education.
CRS (Client Relationship Summary) - RIA
Click below to view Rosalyn Kristina Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rosalyn Kristina Brown'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
November 20, 2024 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Washington, DC
Current
October 8, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, IA
Past
January 10, 2022 - October 2, 2024
PNC CAPITAL ADVISORS LLC
RIA
CRD#: 151829
WASHINGTON, DC
Past
August 27, 2021 - October 2, 2024
PNC CAPITAL MARKETS LLC
BD
CRD#: 15647
WASHINGTON, DC
Past
May 26, 2021 - July 15, 2021
NEWPORT GROUP CONSULTING, LLC
RIA
CRD#: 140944
Washington, DC
Past
May 31, 2019 - July 15, 2021
NEWPORT GROUP SECURITIES, INC.
BD
CRD#: 29722
LAKE MARY, FL
Past
March 31, 2016 - May 15, 2019
FORESIDE DISTRIBUTION SOLUTIONS, LLC
BD
CRD#: 118787
WASHINGTON, DC
Past
March 9, 2016 - May 8, 2019
PNC CAPITAL ADVISORS LLC
RIA
CRD#: 151829
Washington, DC
Past
June 26, 2012 - December 4, 2015
BB&T INSTITUTIONAL INVESTMENT ADVISERS, INC.
RIA
CRD#: 106156
GREENVILLE, SC
Past
December 20, 2006 - May 11, 2012
BB&T INVESTMENT SERVICES, INC.
RIA
CRD#: 33856
FAYETTEVILLE, GA
Past
October 30, 2006 - May 11, 2012
BB&T INVESTMENT SERVICES, INC.
BD
CRD#: 33856
FAYETTEVILLE, GA
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
District of Columbia(10/8/2024)
IAR
District of Columbia(11/20/2024)
RR
Maryland(10/8/2024)
RR
Virginia(10/8/2024)
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.
