JG
Justin Garofalo
PRINCIPAL SECURITIES
Roswell, GA
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CRD#: 5771472
JG
Professional summary
Justin Garofalo, who also goes by Justin M Garofalo, Justin Michael Garofalo, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Roswell, Georgia.
Justin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Justin has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Justin M Garofalo | Justin Michael Garofalo
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; Atlanta, GA; Agent; Fixed Annuities, LI, DI, LTC, Group Benefits, Health; Start Date: 04/25/2019; 8 hrs per month; 8 during trading hours. WILBURBINX, LLC POSITION: Manager NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: Yes NUMBER OF HOURS: 32 SECURITIES TRADING HOURS: 1 START DATE: 03/14/2022 ADDRESS: 1718 Capitol Avenue, Cheyenne WY 82001, United States DESCRIPTION: Ownership and Management Information: Member(s): Justin Garofalo; Ownership: 100%; Manager(s): Justin Garofalo The purpose of this Company is to consolidate, control, actively manage, and trade in investments of all types such as; securities, stocks, bonds, options, notes, currencies, and any and all other lawful purposes that are necessary, convenient or incidental to all of the foregoing. In order to accomplish the foregoing purposes, the Company may own, acquire, manage, develop, operate, buy, sell, exchange, finance, refinance, and otherwise deal with real, personal, tangible, and intangible property, and any type of business, as the Manager(s)may deem from time to time to be in the best interests of the Company; and Conduct any lawful business and investment activity permitted under the laws of Wyoming and in any other jurisdiction in which the Company may have business or investment interest in order to accomplish the foregoing objectives. The Company may engage in any other activities that are related or incidental to the foregoing purposes, as may be determined in the sole and absolute discretion of the Manager(s)and/or any purpose lawfully permitted under the Act.
CRS (Client Relationship Summary) - RIA
Click below to view Justin Garofalo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Justin Garofalo'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
April 24, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 3625 Cumberland Blvd Se Ste 1000, Atlanta, GA 30339RIA
BD
CRD#: 1137
Roswell, GA
Current
April 16, 2019 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3625 Cumberland Blvd Se Ste 1000, Atlanta, GA 30339RIA
BD
CRD#: 1137
Atlanta, GA
Past
August 22, 2018 - April 16, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
Duluth, GA
Past
August 21, 2018 - April 16, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
Duluth, GA
Past
June 21, 2017 - July 10, 2018
REGISTER FINANCIAL ADVISORS, LLC
RIA
CRD#: 143884
ATLANTA, GA
Past
June 20, 2017 - July 10, 2018
REGISTER FINANCIAL ASSOCIATES, INC.
BD
CRD#: 30568
ATLANTA, GA
Past
August 13, 2014 - June 16, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ATLANTA, GA
Past
August 11, 2014 - June 16, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATLANTA, GA
Past
October 15, 2010 - October 15, 2012
MORGAN KEEGAN & COMPANY, LLC
RIA
CRD#: 4161
MEMPHIS, TN
Past
August 6, 2010 - October 15, 2012
MORGAN KEEGAN & COMPANY, LLC
BD
CRD#: 4161
MEMPHIS, TN
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(1/27/2021)
RR
Florida(4/1/2021)
RR
Georgia(4/16/2019)
IAR
Georgia(4/24/2019)
RR
Illinois(4/1/2021)
RR
Massachusetts(10/12/2021)
RR
Mississippi(4/5/2022)
RR
Missouri(2/12/2024)
RR
North Carolina(4/1/2021)
RR
Ohio(3/21/2022)
RR
Tennessee(3/10/2021)
RR
Utah(4/1/2021)
RR
Washington(2/12/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
