SD
Shareef A. Doumet
PRINCIPAL SECURITIES
LONG ISLAND CITY, NY
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CRD#: 5530877
SD
Professional summary
Shareef Anthony Doumet, who also goes by Shareef A Doumet, Shareef Anthony Doumet Mr., Shareef Anthony Doumet, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Long Island City, New York.
Shareef is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Shareef has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shareef A Doumet | Shareef Anthony Doumet Mr. | Shareef Anthony Doumet
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.
**PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 08/08/2022 ADDRESS: 1155 Avenue of the Americas, Suite 1120, New York NY 10036, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal. **STUDIO DOUMET POSITION: Managing and Business Development Director NATURE: Managing Partner INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 05/29/2025 ADDRESS: 4610 Center Blvd., Apt. 1601, Long Island City NY 11109, United States DESCRIPTION: My wife owns a boutique interior design firm and I will be assisting from time to time with business development, book keeping, and consulting services.
CRS (Client Relationship Summary) - RIA
Click below to view Shareef Anthony Doumet's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shareef Anthony Doumet'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 14, 2022 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
LONG ISLAND CITY, NY
Current
September 13, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
May 31, 2016 - August 9, 2022
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Long Island City, NY
Past
May 31, 2016 - August 9, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
DENVER, CO
Past
February 12, 2015 - May 12, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ST. PETERSBURG, FL
Past
February 11, 2015 - May 12, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ST. PETERSBURG, FL
Past
June 27, 2013 - October 13, 2014
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
CLEARWATER, FL
Past
June 4, 2013 - October 13, 2014
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CLEARWATER, FL
Past
December 10, 2012 - February 12, 2013
MORGAN STANLEY
RIA
CRD#: 149777
CLEARWATER, FL
Past
December 7, 2012 - February 12, 2013
MORGAN STANLEY
BD
CRD#: 149777
CLEARWATER, FL
Past
May 22, 2012 - November 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CLEARWATER, FL
Past
January 27, 2012 - November 16, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CLEARWATER, FL
Past
March 18, 2010 - July 7, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
TAMPA, FL
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
Connecticut(9/13/2022)
RR
Kentucky(9/21/2022)
RR
New Jersey(9/13/2022)
RR
New York(9/13/2022)
IAR
New York(9/14/2022)
RR
Pennsylvania(4/4/2025)
Exams
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.
