BT
Benjamin Trevino
PRINCIPAL SECURITIES
Menomonee Falls, WI 53051
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CRD#: 5387707
BT
Professional summary
Benjamin Trevino is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Menomonee Falls, Wisconsin.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Benjamin has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 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.
**OUTSIDE INSURANCE, SELLING TRADITIONAL INSURANCE PRODUCTS, LONG TERM CARE INSURANCE, DISABILITY, HEALTH, GROUP BENEFITS AND P&C THROUGH VARIOUS CARRIERS, 1/16/13. **UNION FINANCIAL, INC., 50% OWNER OF COMPANY; ACTIVE MANAGER, 11/20/14. **BAD PARTNERS, LLC, ONE OF THREE MANAGING MEMBERS OF THE LLC. BAD PARTNERS, LLC IS REPLACING BRIDGE VEBA WHICH WAS THE MARKETING ENTITY USED TO SELL ONE VEBA PLAN. NO MARKETING FOR SALES OF FUTURE VEBA PLANS IS OCCURRING, 11/21/14. **TREVINO PROPERTIES LLC, RENTAL PROPERTIES, 05/04/15. **MACC FUND ELB POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 10000 W Innovation Dr, Milwaukee WI 53226, United States DESCRIPTION: The Emerging Leaders Board helps the MACC Fund Board plan charitable events and spread the word about Child Hood Cancer. This does not involve any check writing, investment discussions or handling of funds. **HUMVINO LLC POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 01/18/2024 ADDRESS: 255 Legend Heights, Wales WI 53183, United States DESCRIPTION: Lake property that will be used as an VRBO or AirBnb. Roles will be listing this property for short term rentals.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Trevino's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Benjamin Trevino'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 17, 2012 - Present
PRINCIPAL SECURITIES, INC.
Office #1: W137n5557 Williams Pl, Menomonee Falls, WI 53051RIA
BD
CRD#: 1137
Menomonee Falls, WI
Current
August 3, 2007 - Present
PRINCIPAL SECURITIES, INC.
Office #1: W137n5557 Williams Pl, Menomonee Falls, WI 53051RIA
BD
CRD#: 1137
Menomonee Falls, WI
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
Alabama(6/5/2025)
RR
Arizona(8/10/2015)
RR
Connecticut(4/7/2016)
RR
Florida(12/10/2015)
RR
Georgia(10/23/2015)
RR
Illinois(9/11/2007)
RR
Indiana(2/12/2009)
RR
Kentucky(8/10/2016)
RR
Michigan(2/18/2010)
RR
Minnesota(4/6/2015)
RR
Missouri(6/25/2010)
RR
North Carolina(1/15/2014)
RR
Ohio(7/21/2021)
RR
South Carolina(4/30/2014)
RR
Tennessee(3/6/2018)
RR
Washington(4/6/2016)
RR
Wisconsin(8/21/2007)
IAR
Wisconsin(1/17/2012)
Exams
State Security Law Exam
State Security Law 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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Menomonee Falls, WI 53051TRUST BUT VERIFY
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