Scott A. Stewart
PRINCIPAL SECURITIES
RICHMOND, CA
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CRD#: 5924361
Professional summary
Scott Andrew Stewart, CFP®, who also goes by Scott Stewart, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Richmond, California.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Scott has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Stewart
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.
**COLDWELL BANKER KAPPEL GATEWAY REALTY POSITION: Licensed Assistant NATURE: Real Estate Sales/Broker INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 8 START DATE: 01/02/2025 ADDRESS: 750 Mason Ste, Ste 101, Vacaville CA 95688, United States DESCRIPTION: In this role, I am operating as a licensed assistant for an individual agent, Sandy Stewart, within the brokerage: Coldwell Banker Kappel Gateway Realty. I will also be helping process paperwork, attend meetings and appointments to help facilitate the cases of the agent above. **INSURANCE POSITION: Insurance Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 8 START DATE: 07/16/2025 ADDRESS: 500 Ygnacio Valley Rd, Ste 270B, Walnut Creek CA 94596, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, DI, LTC, health, and group benefits.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Andrew Stewart's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Andrew Stewart'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®
CFP®
Start date: 2018
Experience
Current
July 18, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 500 Ygnacio Valley Rd Ste 270b, Walnut Creek, CA 94596RIA
BD
CRD#: 1137
RICHMOND, CA
Current
July 18, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 500 Ygnacio Valley Rd Ste 270b, Walnut Creek, CA 94596RIA
BD
CRD#: 1137
RICHMOND, CA
Past
November 14, 2024 - July 29, 2025
LPL ENTERPRISE, LLC
RIA
CRD#: 8733
ROSEVILLE, CA
Past
November 14, 2024 - July 29, 2025
LPL ENTERPRISE, LLC
BD
CRD#: 8733
ROSEVILLE, CA
Past
November 12, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Walnut Creek, CA
Past
October 10, 2018 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Walnut Creek, CA
Past
June 4, 2018 - June 22, 2018
SECURIAN FINANCIAL SERVICES, INC.
RIA
CRD#: 15296
SAN MATEO, CA
Past
June 1, 2018 - June 22, 2018
SECURIAN FINANCIAL SERVICES, INC.
BD
CRD#: 15296
SAN MATEO, CA
Past
July 17, 2015 - May 30, 2018
OSAIC FA, INC.
RIA
CRD#: 3978
SAN RAMON, CA
Past
January 16, 2015 - May 30, 2018
OSAIC FA, INC.
BD
CRD#: 3978
SAN RAMON, CA
Past
August 15, 2014 - January 15, 2015
ASSETMARK BROKERAGE, LLC
BD
CRD#: 169804
CONCORD, CA
Past
September 12, 2011 - August 15, 2014
CAPITAL BROKERAGE CORPORATION
BD
CRD#: 10465
GLEN ALLEN, 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
California(7/18/2025)
IAR
California(7/18/2025)
RR
Illinois(7/18/2025)
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.
