GE
Grant W. Ericksen
PRINCIPAL SECURITIES
GRAND ISLAND, NE 68803
Some features on this profile are disabled
CRD#: 5518820
GE
Professional summary
Grant Wade Ericksen, who also goes by Grant Ericksen, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Grand Island, Nebraska.
Grant is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Grant has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Grant Ericksen
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, 09/27/11, SELLING LTC, GROUP, HEALTH, TERM, DI AND TRADITIONAL INSURANCE PRODUCTS THROUGH VARIOUS CARRIERS. **BOARD POSITION; HOLDREGE PUBLIC SCHOOLS FOUNDATION BOARD; 02/26/13. **Blue Edge LLC; Not Investment Related; Holdrege, NE; Co-owner; Entity established to own office building, and be used to pay office expenses, including off payroll. Will also receive health insurance commissions.; Start Date: 04/25/2016; 5 hrs per month; 5 during trading hours. **Phelps County Development Corporation; Not Investment Related; Holdrege, NE; Board Member; Provide vision, direction, and leadership for the PCDC.; Start Date: 10/01/2020; 2 hrs per month; 0 during trading hours. **HOLDREGE AREA EARLY CHILDHOOD PARTNERSHIP, INC POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2024 ADDRESS: 504 4th Avenue, Holdrege NE 68949, United States DESCRIPTION: This entity is a non-profit 501(c)(3) that evolved from the previously disclosed activity Communities for Kids Steering Committee. The mission of the organization is to operate as an independent organization that facilitates strategic partnerships between businesses and early childhood providers. The entity is committed to advancing and ensuring high-quality care for children in our area in order to assist with business recruitment, retention, and expansion efforts to transform our local economy. My role as a Board Member is to ensure the sustainability and accountability of the entity and assist with potential fundraising campaigns. **ROTARY CLUB OF HOLDREGE, NE POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2025 ADDRESS: 302 East Avenue, Holdrege NE 68949, United States DESCRIPTION: The mission of Rotary is to provide service to others, promote integrity, and advance world understanding, goodwill, and peace. Our local Rotary club holds meetings weekly and participates in occasional service projects in our community. My role as President will be to conduct those weekly meetings and conduct quarterly officer meetings to lead the organization for a 1 year term.
CRS (Client Relationship Summary) - RIA
Click below to view Grant Wade Ericksen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Grant Wade Ericksen'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 21, 2011 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3311 W Stolley Park Rd, Grand Island, NE 68803Office #2: 415 East Ave, Holdrege, NE 68949RIA
BD
CRD#: 1137
GRAND ISLAND, NE
Current
January 14, 2011 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3311 W Stolley Park Rd, Grand Island, NE 68803Office #2: 415 East Ave, Holdrege, NE 68949RIA
BD
CRD#: 1137
GRAND ISLAND, NE
Past
July 3, 2008 - January 11, 2011
WADDELL & REED
RIA
CRD#: 866
LINCOLN, NE
Past
June 6, 2008 - January 11, 2011
WADDELL & REED
BD
CRD#: 866
LINCOLN, NE
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(9/11/2020)
RR
Arizona(5/14/2012)
RR
California(3/29/2016)
RR
Colorado(1/26/2012)
RR
Florida(7/13/2016)
RR
Georgia(7/19/2021)
RR
Idaho(7/29/2025)
RR
Iowa(8/8/2013)
RR
Kansas(4/10/2012)
RR
Maryland(1/31/2024)
RR
Michigan(4/7/2022)
RR
Minnesota(3/18/2014)
RR
Missouri(1/26/2012)
RR
Nebraska(1/14/2011)
IAR
Nebraska(1/21/2011)
RR
Nevada(7/13/2016)
RR
North Dakota(1/11/2023)
RR
Oklahoma(8/8/2013)
RR
South Dakota(1/13/2016)
RR
Texas(1/26/2012)
IAR
Texas(3/8/2021)
RR
Vermont(7/13/2016)
RR
Virginia(7/13/2016)
RR
Wisconsin(7/13/2016)
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Grand Island, NE 68803TRUST BUT VERIFY
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