MB
Matthew R. Banzhaf
PRINCIPAL SECURITIES
West Des Moines, IA 50266
Some features on this profile are disabled
CRD#: 5800640
MB
Professional summary
Matthew R Banzhaf, AIF®, CFP®, who also goes by Matt Banzhaf, Matthew R. Banzhaf, Matthew Banzhaf, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in West Des Moines, Iowa.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Matthew has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Banzhaf | Matthew R. Banzhaf | Matthew Banzhaf
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; 6701 Westown Pkwy, Suite 200, West Des Moines, IA 50266; Agent; Group Benefits, DI, LTC, Health; Start Date: 11/01/2017; 10 hrs per month; 5 during trading hours. ***Link Associates; Not Investment Related; 1452 29th St, West Des Moines, IA 50266; Board member; Board of Directors; Start Date: 07/01/2016; 2 hrs per month; 2 during trading hours. ***Project 52, Inc.; Not Investment Related; PO Box 3681, Urbandale, IA 50323; Board Member; Board of Director; Start Date: 01/01/2013; 0 hrs per month; 0 during trading hours. ***INSURANCE POSITION: Structured Settlement 360 Financial NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 02/07/2024 ADDRESS: 6701 Westown Pkwy., Ste. 200, West Des Moines IA 50266, United States DESCRIPTION: We will be working with Doug Arnest at 360 financial to provide a structured settlement annuity for a client for lifetime payout. A portion of the settlement will go to the structured annuity with New York Life we are establishing this to be able to split the commission with the Structured Settlement broker.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew R Banzhaf's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew R Banzhaf'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
January 25, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, IA
Current
January 24, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, IA
Past
March 25, 2017 - January 19, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
WEST DES MOINES, IA
Past
March 25, 2017 - January 19, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
WEST DES MOINES, IA
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
WEST DES MOINES, IA
Past
January 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
WEST DES MOINES, IA
Past
May 12, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
RIA
CRD#: 615
WEST DES MOINES, IA
Past
June 15, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
BD
CRD#: 615
WEST DES MOINES, IA
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(5/14/2019)
RR
Arizona(1/24/2018)
RR
Arkansas(8/28/2019)
RR
California(4/3/2025)
RR
Colorado(1/24/2018)
RR
Delaware(3/28/2025)
RR
Florida(3/22/2023)
RR
Georgia(7/14/2022)
RR
Idaho(5/20/2024)
RR
Illinois(1/24/2018)
RR
Indiana(8/26/2020)
RR
Iowa(1/24/2018)
IAR
Iowa(1/25/2018)
RR
Kansas(1/26/2022)
RR
Kentucky(10/26/2020)
RR
Maine(5/8/2023)
RR
Michigan(1/24/2018)
RR
Minnesota(1/24/2018)
RR
Missouri(1/24/2018)
RR
Montana(2/27/2018)
RR
Nebraska(1/24/2018)
RR
New York(10/23/2024)
RR
North Carolina(6/15/2023)
RR
Ohio(5/15/2020)
RR
Oklahoma(1/24/2018)
RR
South Dakota(9/9/2021)
RR
Tennessee(6/4/2025)
RR
Texas(8/23/2018)
IAR
Texas(6/16/2021)
RR
Virginia(6/14/2019)
RR
Washington(6/4/2025)
RR
Wisconsin(1/24/2018)
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#: 1137West Des Moines, IA 50266TRUST BUT VERIFY
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