KO
Katie M. Ogden
PRINCIPAL SECURITIES
Laramie, WY 82070
Some features on this profile are disabled
CRD#: 5438820
KO
Professional summary
Katie Michelle Ogden, who also goes by Katie Ogden, Katie Michelle Price, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Laramie, Wyoming.
Katie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Katie has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katie Ogden | Katie Michelle Price
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.
**LOMO LIVESTOCK AND SHOW FEED, LLC POSITION: owner/operator NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2022 ADDRESS: 4433 Soldier Springs Road, Laramie WY 82070, United States DESCRIPTION: I sell show feed and show pigs to the general public. **INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 10/11/2023 ADDRESS: 410 E Grad Ave, Suite 313, Laramie WY 82070, United States DESCRIPTION: Occasional sales of life insurance, disability, annuities, long term care, health insurance, Medicare supplements, and group benefits not offered by Principal. **ROOTS OUT WEST, LLC POSITION: Realtor NATURE: Real Estate Sales/Broker INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2023 ADDRESS: 412 S 2nd St, Laramie WY 82070, United States DESCRIPTION: I'm a licensed Realtor affiliated with Roots Out West, LLC and I sell the occasional property in Laramie, WY and the surrounding area. I conducted this business activity with the full knowledge and approval of my previous B/D and disclosed it to Principal prior to joining. **CENTENNIAL SOCIAL CLUB POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/18/2024 ADDRESS: 4433 Soldier Springs Road, Laramie WY 82070, United States DESCRIPTION: I've been elected president of a ladies social club, and my primary function is to plan luncheons.
CRS (Client Relationship Summary) - RIA
Click below to view Katie Michelle Ogden's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katie Michelle Ogden'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
September 15, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 410 E Grand Ave Ste 313, Laramie, WY 82070RIA
BD
CRD#: 1137
Laramie, WY
Current
September 15, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 410 E Grand Ave Ste 313, Laramie, WY 82070RIA
BD
CRD#: 1137
Laramie, WY
Past
May 1, 2020 - September 25, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
LARAMIE, WY
Past
May 1, 2020 - September 25, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
LARAMIE, WY
Past
May 10, 2017 - January 23, 2020
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
STEAMBOAT SPRINGS, CO
Past
April 18, 2017 - January 23, 2020
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
STEAMBOAT SPRINGS, CO
Past
December 2, 2014 - April 19, 2017
NYLIFE SECURITIES LLC
BD
CRD#: 5167
LARAMIE, WY
Past
November 5, 2007 - August 17, 2009
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
LARAMIE, WY
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
Arizona(11/13/2023)
RR
California(2/2/2024)
RR
Colorado(9/15/2023)
RR
Idaho(4/29/2024)
RR
Minnesota(9/15/2023)
RR
Montana(9/15/2023)
RR
Utah(9/26/2024)
RR
Wyoming(9/15/2023)
IAR
Wyoming(9/15/2023)
Exams
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.
