MB
Matthew W. Brown
PRINCIPAL SECURITIES
Meridian, ID
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CRD#: 5261826
MB
Professional summary
Matthew Wade Brown, who also goes by Matthew Wade Brown, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Meridian, Idaho.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Matthew has worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matthew Wade 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.
**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 01/02/2023 ADDRESS: 5742 N Black Sand Avenue, Meridian ID 83646, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Group Benefits, Medicare & Medicaid through various carriers. **15:22 WEALTH MANAGEMENT (DBA) POSITION: President/Owner NATURE: DBA INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 40 START DATE: 09/23/2024 ADDRESS: 5742 N BLACK SAND AVE, Meridian ID 83646, United States DESCRIPTION: President/Owner of 15:22 Wealth Management. Financial Representative, Registered Representative, Financial Advisor. Business Consulting DI/A&H Insurance Fee-based Financial Planning Financial Strategies/Needs Analysis Group/Health Insurance Life Insurance/Annuities Mutual Funds/Securities/VA/VL Seminars/Educational Workshops
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Wade Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Wade 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
January 18, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Meridian, ID
Current
January 17, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Meridian, ID
Past
September 15, 2022 - October 20, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Meridian, ID
Past
September 6, 2022 - October 20, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Meridian, ID
Past
November 8, 2018 - March 18, 2020
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
RIA
CRD#: 105790
EATONVILLE, WA
Past
August 23, 2017 - November 8, 2018
MANULIFE INVESTMENT MANAGEMENT (US) LLC
RIA
CRD#: 106435
EATONVILLE, WA
Past
September 19, 2012 - December 31, 2014
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
BOSTON, MA
Past
November 4, 2010 - March 18, 2020
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
BD
CRD#: 28262
BOSTON, MA
Past
March 11, 2008 - December 31, 2012
JOHN HANCOCK DISTRIBUTORS LLC
BD
CRD#: 5249
BOSTON, MA
Past
January 1, 2007 - February 15, 2008
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
FRANKLIN, TN
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
Alaska(11/4/2024)
RR
California(8/25/2023)
RR
Colorado(2/23/2023)
RR
Idaho(1/18/2023)
IAR
Idaho(1/18/2023)
RR
Montana(1/31/2024)
RR
Nevada(3/13/2024)
RR
Oregon(3/8/2023)
RR
Utah(3/6/2023)
RR
Washington(3/6/2023)
Exams
State Security Law Exam
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.
