CH
Casey B. Head
PRINCIPAL SECURITIES
FITZWILLIAM , NH
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CRD#: 5288043
CH
Professional summary
Casey Benjamin Head is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Fitzwilliam , New Hampshire.
Casey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Casey has worked at 4 firms and has passed the Series 66, Series 99TO, SIE, Series 52, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
**White Stag Martial Arts/White Stag Corporation; Not Investment Related; Des Moines, IA; President & CEO; Provide strategic direction for marketing and recruitment. No access to funds or check writing, no ability to determine investment; Start Date: 01/01/2019; 8 hrs per month; 0 during trading hours. **THE COUNTRY GENTLEMAN POSITION: Owner NATURE: Turning on monetization for a blog I write on Substack.com. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/03/2025 ADDRESS: 49 Lower Troy Road, FITZWILLIAM NH 03447, United States DESCRIPTION: I write a blog called The Country Gentleman on Substack, which has a monetization feature, which if turned on would allow subscribers to support my writing monetarily. I write about rural living, culture, and history. Nothing about what I write is investment related, nor could be construed as investment advice. **TOWN OF FITZWILLIAM POSITION: Planning Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/17/2024 ADDRESS: 49 Lower Troy Road, FITZWILLIAM NH 03447, United States DESCRIPTION: As a member of the planning board for the Town of Fitzwilliam I am responsible for reviewing whether proposed construction or businesses comply with zoning and other land use ordinances. The board meets two times a month, on the first and third Tuesday of the month, from 7 to 9 PM eastern. I was recently appointed to the planning board by the board of selectman to fill a vacancy, and would run for reelection in March for a three year term.
CRS (Client Relationship Summary) - RIA
Click below to view Casey Benjamin Head's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Casey Benjamin Head'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 14, 2013 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
FITZWILLIAM , NH
Current
September 4, 2013 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
FITZWILLIAM , NH
Past
October 4, 2012 - August 13, 2013
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
DES MOINES, IA
Past
March 21, 2007 - August 24, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
WEST DES MOINES, IA
Past
March 21, 2007 - August 24, 2012
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
WEST DES MOINES, IA
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.Highlighted states indicate IAR registrations
IAR
Iowa(11/14/2013)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 2/24/2025
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
