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Timothy M. Vollrath
PRINCIPAL SECURITIES
SHARONVILLE, OH 45241
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CRD#: 5261663
TV
Professional summary
Timothy M Vollrath, who also goes by Timothy Michael Vollrath, Timothy Vollrath, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Sharonville, Ohio.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Timothy has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Timothy Michael Vollrath | Timothy Vollrath
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.
**OUTSIDE INSURANCE POSITION: Representative/Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/22/2025 ADDRESS: 400 E. Business Way, Suite 125, Sharonville OH 45241, United States DESCRIPTION: Outside insurance sales through PPN/Crump. Products include fixed life, Ltc , DI, fixed annuities through various carriers. **MIAMI TOWNSHIP TRUSTEE POSITION: Trustee NATURE: Elected Official INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 3780 Shady Lane, Northbend OH 45052, United States DESCRIPTION: elected official that provides guidance for safety divisions of fire and police, road maintenance, cemetery. **MILLER STOCKUM AMERICAN LEGION POST 485 POSITION: Commander NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2015 ADDRESS: 29 E. State Rd, Cleves OH 45002, United States DESCRIPTION: Veterans organization. I run monthly meetings, make decisions on maintenance of building and activities in the community.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy M Vollrath's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy M Vollrath'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
July 24, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 400 E Business Way Ste 125, Sharonville, OH 45241RIA
BD
CRD#: 1137
SHARONVILLE, OH
Current
July 17, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 400 E Business Way Ste 125, Sharonville, OH 45241RIA
BD
CRD#: 1137
SHARONVILLE, OH
Past
March 3, 2022 - July 22, 2025
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
CINCINNATI, OH
Past
November 30, 2020 - July 22, 2025
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CINCINNATI, OH
Past
February 24, 2016 - October 12, 2020
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
CINCINNATI, OH
Past
September 14, 2015 - October 12, 2020
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
CINCINNATI, OH
Past
September 30, 2010 - September 9, 2015
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CINCINNATI, OH
Past
April 15, 2010 - September 24, 2010
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
LOUISVILLE, KY
Past
January 30, 2007 - September 24, 2010
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
LOUISVILLE, KY
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
Indiana(7/17/2025)
RR
Kentucky(7/17/2025)
RR
Ohio(7/17/2025)
IAR
Ohio(7/24/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/4/2023
General Securities Representative ExaminationGeneral 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#: 1137Sharonville, OH 45241TRUST BUT VERIFY
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