SM
Sara Mills-gaines
PRINCIPAL SECURITIES
ROHNERT PARK, CA
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CRD#: 5479702
SM
Professional summary
Sara Mills-gaines is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Rohnert Park, California.
Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Sara has worked at 6 firms and has passed the Series 66, Series 7TO, SIE and Series 7 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.
INSURANCE POSITION: Sara Mills-Gaines NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 10/16/2024 ADDRESS: 500 Ygnacio Valley Rd Ste 270B, Walnut Creek CA 94596, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, P&C, health, and group benefits through various insurance carriers.
CRS (Client Relationship Summary) - RIA
Click below to view Sara Mills-gaines's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sara Mills-gaines'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
August 16, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 500 Ygnacio Valley Rd Ste 270b, Walnut Creek, CA 94596RIA
BD
CRD#: 1137
ROHNERT PARK, CA
Current
July 2, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 500 Ygnacio Valley Rd Ste 270b, Walnut Creek, CA 94596RIA
BD
CRD#: 1137
ROHNERT PARK, CA
Past
January 12, 2021 - July 27, 2021
PARSONEX ADVISORY SERVICES, INC.
RIA
CRD#: 160275
Orange, CA
Past
March 23, 2020 - May 19, 2021
PARSONEX SECURITIES, INC.
BD
CRD#: 144412
Orange, CA
Past
March 16, 2020 - December 31, 2020
PARSONEX ADVISORY SERVICES, INC.
RIA
CRD#: 160275
Rohnert, CA
Past
May 31, 2016 - April 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SONOMA, CA
Past
May 27, 2016 - April 5, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SONOMA, CA
Past
January 3, 2011 - June 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SANTA ROSA, CA
Past
January 3, 2011 - June 17, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SANTA ROSA, CA
Past
April 7, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
CORTE MADERA, CA
Past
March 26, 2008 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
CORTE MADERA, CA
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
California(8/16/2024)
IAR
California(8/16/2024)
RR
North Carolina(5/8/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/22/2024
General Securities Representative ExaminationGeneral 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.
