Chaundra K. Straker

PRINCIPAL ADVISED SERVICES

LOS ANGELES, CA

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CRD#: 5456642

Professional summary

Chaundra Kay Straker, who also goes by Chandra Kay Straker, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Los Angeles, California and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.

Chaundra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Chaundra has worked at 6 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chandra Kay Straker

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.

FIRESTONE WALKER BREWING COMPANY POSITION: Server NATURE: Restaurant/Brewery INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 0 START DATE: 12/14/2022 ADDRESS: 3205 Washington Blvd, Marina Del Rey CA 90292, United States DESCRIPTION: Server, Customer Service responsibilities, take payments

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chaundra Kay Straker's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 13, 2025 - Present

PRINCIPAL ADVISED SERVICES

RIA

CRD#: 297324

LOS ANGELES, CA

Current

April 12, 2024 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392

RIA

CRD#: 1137

DES MOINES, IA

Past

April 17, 2024 - March 13, 2025

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Los Angeles, CA

Past

June 29, 2023 - April 11, 2024

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

EL SEGUNDO, CA

Past

March 23, 2018 - June 29, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

EL SEGUNDO, CA

Past

March 23, 2018 - April 11, 2024

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

June 21, 2016 - January 2, 2018

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

El Segundo, CA

Past

June 21, 2016 - January 2, 2018

NATIONAL PLANNING CORPORATION

CRD#: 29604

El Segundo, CA

Past

November 2, 2011 - May 19, 2016

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

August 26, 2010 - May 19, 2016

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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 ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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.

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

California
(4/12/2024)

IAR

California
(3/13/2025)

Iowa
(4/12/2024)

IAR

Iowa
(3/20/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/1/2011

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/25/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 7/18/2020

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/7/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

655 9th Street, Des Moines, IA 50309

Mailing Address

711 High Street, Des Moines, IA 50392

Phone number

(866) 412-0770

Established

Firm type

Fiscal year end

# of Employees

343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PAS ADV 2A ADVICE BROCHURE (3/31/2025)

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	16,940
AUM (Assets Under Management)	$ 887,316,440

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/26/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/20/2023	Cover Page	Report
09/22/2023	Cover Page	Report
12/20/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Chaundra K. Straker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Chaundra Kay Straker's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

WADDELL & REED

WADDELL & REED

Primary Firm SEC Registration

PRINCIPAL ADVISED SERVICES

State Registrations and Notice Filings

Exams

Series 66

Date: 11/1/2011

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 8/25/2010

Series 53

Date: 7/18/2020

Series 24

Date: 6/7/2011

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ADVISED SERVICES

TRUST BUT VERIFY

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