Deepak Bhalla
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Deepak Bhalla, who also goes by Deepak Bhalla, was a registered financial professional .
Deepak is a previously registered financial professional and started their career in finance in 2007. Deepak had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2020 - August 9, 2022
PRINCIPAL SECURITIES, INC.
July 1, 2020 - August 9, 2022
PRINCIPAL SECURITIES, INC.
May 8, 2020 - June 15, 2020
HORNOR, TOWNSEND & KENT, LLC
October 1, 2018 - November 4, 2019
SECURITIES AMERICA ADVISORS, INC.
October 1, 2018 - November 4, 2019
SECURITIES AMERICA, INC.
March 25, 2017 - October 10, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - October 10, 2018
MML INVESTORS SERVICES, LLC
November 7, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
February 9, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
December 10, 2015 - January 9, 2016
OSAIC SERVICES, INC.
April 26, 2007 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 2, 2007 - December 22, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 12, 2007 - March 27, 2007
EQUITABLE ADVISORS, 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
Exams
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.
