MM
Mark B. Mcroy
PRINCIPAL SECURITIES
ROANOKE, VA
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CRD#: 5866483
MM
Professional summary
Mark B Mcroy, who also goes by Mark Brian Mcroy, Mark Mcroy, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Roanoke, Virginia.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Mark has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mark Brian Mcroy | Mark Mcroy
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 POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 03/16/2025 ADDRESS: 2811 Mystique Court, Roanoke VA 24012, United States DESCRIPTION: Writing Life, DI, Annuities, LTC, Medical, Dental, Medicare and Medicaid. This will include individual as well as group products with multiple companies. **ROANOKE VALLEY ROTARY CLUB POSITION: Member Roanoke Valley Rotary Club NATURE: Member of club INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 0 START DATE: 06/10/2022 ADDRESS: 2811 Mystique Court, Roanoke VA 24012, United States DESCRIPTION: Member of the Roanoke Valley Rotary Club. We provide services and do charitable work in the Roanoke area. **WEDGWOOD HOMEOWNERS ASSOCIATION POSITION: HOA President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 2811 Mystique Court, Roanoke VA 24012, United States DESCRIPTION: President of the Wedgwood Homeowners Association of my neighborhood. **BOARD MEMBER POSITION: Board Member Roanoke Valley Mustang Club NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2021 ADDRESS: 2811 Mystique Court, Roanoke VA 24012, United States DESCRIPTION: Board Member of the Roanoke Valley Mustang Club. We are a car club that raises money for charity and participates in parades and donate our time to charitable causes.
CRS (Client Relationship Summary) - RIA
Click below to view Mark B Mcroy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark B Mcroy'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
March 12, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
ROANOKE, VA
Current
March 12, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
ROANOKE, VA
Past
September 10, 2021 - March 24, 2025
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
ROANOKE, VA
Past
November 17, 2020 - March 24, 2025
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
ROANOKE, VA
Past
May 1, 2020 - August 18, 2020
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
Roanoke, VA
Past
September 25, 2018 - April 27, 2020
NYLIFE SECURITIES LLC
BD
CRD#: 5167
VINTON, VA
Past
February 4, 2013 - October 22, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
ROANOKE, VA
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
Florida(3/12/2025)
RR
Maryland(3/12/2025)
RR
New Jersey(3/12/2025)
RR
North Carolina(3/12/2025)
RR
South Carolina(3/12/2025)
RR
Virginia(3/12/2025)
IAR
Virginia(3/12/2025)
Exams
State Security Law Exam
State Security Law 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.
