RB
Raynard E. Burrell
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CRD#: 5613998
RB
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Raynard Edward Burrell, who also goes by Raynard Edward Burrell, Raynard Burrell, was a registered financial professional .
Raynard is a previously registered financial professional and started their career in finance in 2014. Raynard had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Raynard Edward Burrell | Raynard Burrell
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.
***Real Estate Agent; Not Investment Related; Dallas, GA; Agent; Real estate agent. Active license.; Start Date: 06/01/2020; 1 hrs per month; 0 during trading hours.***Fixed Insurance; Investment Related; Dallas, GA; Agent; Life, Annuities, DI, Group Benefits, P&C; Start Date: 06/01/2020; 2 hrs per month; 0 during trading hours. ***Burrell Financial Group; Not Investment Related; Atlanta, GA; Owner; Entity established to market insurance and securities.; Start Date: 06/01/2021; 160 hrs per month; 160 during trading hours. DREAMMAKERS REALTY GROUP POSITION: Broker NATURE: Real Estate Sales/Broker INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2021 ADDRESS: 412 Victoria Heights Drive, Dallas GA 30132, United States DESCRIPTION: My role is broker, for the sole purpose of receiving commission in the event of a real estate closing. DREAMMAKERS REALTY GROUP POSITION: Broker NATURE: Real Estate Sales/Broker INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2021 ADDRESS: 412 Victoria Heights Drive, Dallas GA 30132, United States DESCRIPTION: My role is broker, for the sole purpose of receiving commission in the event of a real estate closing. We collect $50 a month in fees from agents to have access to MLS service and Sr. agents assistance. DREAMMAKERS REALTY GROUP POSITION: Owner/ Founder NATURE: Real Estate Sales/Broker INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2021 ADDRESS: 412 Victoria Heights Drive, Dallas GA 30132, United States DESCRIPTION: My role is broker, for the sole purpose of receiving commission in the event of a real estate closing. We collect $50 a month in fees from agents to have access to MLS service and Sr. agents assistance.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
June 2, 2020 - October 13, 2023
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
Atlanta, GA
Past
June 1, 2020 - October 13, 2023
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
Atlanta, GA
Past
July 22, 2019 - May 7, 2020
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ATLANTA, GA
Past
July 12, 2019 - May 7, 2020
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ATLANTA, GA
Past
July 13, 2018 - February 4, 2019
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
ATLANTA, GA
Past
June 29, 2018 - February 4, 2019
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ATLANTA, GA
Past
August 30, 2017 - May 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATLANTA, GA
Past
March 7, 2017 - May 22, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ATLANTA, GA
Past
January 23, 2014 - May 31, 2016
COUNTRY CAPITAL MANAGEMENT COMPANY
BD
CRD#: 12060
SMYRNA, GA
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
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.
