RL
Ronald W. Lamberton
PRINCIPAL SECURITIES
Minnetonka, MN 55305
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CRD#: 5515119
RL
Professional summary
Ronald W Lamberton, AIF®, who also goes by Ronald Lamberton, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Minnetonka, Minnesota.
Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Ronald has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ronald Lamberton
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.
**Fixed Insurance; Investment Related; Agent; Fixed: LI, DI, LTC, Annuities, Health, Medical (Supplemental Insurance) Group: Life; Voluntary Life; Short and/or Long Term Disability; Vision and Dental; Start Date: 04/01/2015; 20 hrs per month; during trading hours. **J.J. Swanson Advisory Group; Not Investment Related; Minnetonka, MN; Relationship Manager; Build and maintain an employee education program for retirement plan participants. Will be working with plan sponsors and participants of new and existing retirement plans and corporate clients.; Start Date: 01/01/2021; 100 hrs per month; 100 during trading hours. **AAA MINNEAPOLIS POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2023 ADDRESS: 5400 Auto Club Way, Minneapolis MN 55416, United States DESCRIPTION: AAA Minneapolis is the local affiliate of the member-based American Automobile Association, or AAA. AAA Minneapolis is headquartered in St. Louis Park, MN, and services more than 200,000 members in Hennepin, Anoka, and Carver counties, providing Travel Services, Retail Services and Insurance Services (auto, home, umbrella, life and health, (including Medicare plans, LTC) to their members. I will not be directly involved in the selling of their services to the public. **BRIDGE STREET WEALTH STRATEGIES (DBA) POSITION: Senior Advisor NATURE: Financial Strategies/Needs Analysis INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 202 W. Bridge Street, STE 203, Owatonna MN 55060, United States DESCRIPTION: Marketing our common brand for Financial Consulting.
CRS (Client Relationship Summary) - RIA
Click below to view Ronald W Lamberton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ronald W Lamberton'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®
Experience
Current
October 28, 2009 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, MN
Current
August 26, 2008 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305RIA
BD
CRD#: 1137
Minnetonka, MN
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(3/14/2016)
RR
California(10/8/2009)
RR
Colorado(10/31/2023)
RR
Florida(8/17/2021)
RR
Georgia(3/14/2016)
RR
Idaho(6/24/2025)
RR
Illinois(9/29/2008)
RR
Indiana(2/24/2023)
RR
Iowa(7/24/2017)
RR
Michigan(3/18/2014)
RR
Minnesota(9/8/2008)
IAR
Minnesota(1/2/2014)
RR
Montana(1/23/2024)
RR
New York(11/17/2011)
RR
North Carolina(12/12/2022)
RR
North Dakota(5/15/2020)
RR
Ohio(9/29/2008)
RR
Pennsylvania(7/19/2010)
RR
South Dakota(7/11/2023)
RR
Tennessee(3/24/2021)
RR
Virginia(1/19/2024)
RR
Wisconsin(9/29/2008)
Exams
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.
