Sandra B. Dittus
PRINCIPAL SECURITIES
Chattanooga, TN
Some features on this profile are disabled
CRD#: 5958077
Professional summary
Sandra Brandt Dittus, CFP®, who also goes by Sandra Brandt Chambers, Sandy Brandt Chambers, Sandra Brandt Chambers Dittus, Sandra Brandt Dittus, Sandy Chambers Dittus, Sandy Brandt Pulliam, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Chattanooga, Tennessee.
Sandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Sandra has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sandra Brandt Chambers | Sandy Brandt Chambers | Sandra Brandt Chambers Dittus | Sandra Brandt Dittus | Sandy Chambers Dittus | Sandy Brandt Pulliam
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.
**JEWISH FEDERATION OF GREATER CHATTANOOGA POSITION: Committee member of Investment Committee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2011 ADDRESS: 5461 N. Terrace Road, Chattanooga TN 37411, United States DESCRIPTION: I am a member of the investment committee for the Jewish Federation. The committee reviews investment results of the various investment funds, determines the asset allocation, and reviews the investment policy statement. **MIZPAH CONGREGATION POSITION: Member of Endowment Committee NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2011 ADDRESS: 923 McCallie Ave, Chattanooga TN 37403, United States DESCRIPTION: I am member of the endowment committee. The investments are managed by the Community Foundation of Greater Chattanooga. The committee reviews the performance of each named fund and determines the payouts to the congregation based on performance and the financial needs of the congregation. **HAMILTON COUNTY SCHOOLS FUND FOR EXCELLENCE POSITION: Secretary/Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/01/2006 ADDRESS: 1161 W. 40th street, Suite 206, Chattanooga TN 37409, United States DESCRIPTION: I am the Treasurer/Secretary, a member of the Board of Directors and a member of the Executive Committee. Responsibilities include the normal duties of a secretary/treasurer. **SANDY B. DITTUS, CPA POSITION: Certified Public Accountant NATURE: CPA/Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 07/24/2023 ADDRESS: 7800 Stones River Road, CHATTANOOGA TN 37421, United States DESCRIPTION: I plan to offer tax return services. I understand that it will be my responsibility to inform clients that the securities products and services offered by or sold by me, as a financial professional, are done on behalf of Principal Securities and are not part of an OBA as a CPA. **INSURANCE POSITION: Financial Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 25 START DATE: 07/01/2023 ADDRESS: 7800 Stones River Road, Chattanooga TN 37421, United States DESCRIPTION: Sales and service of fixed life, fixed annuities, disability insurance, Long Term Care insurance, health and group benefits. Sales and service through Crump. **SANDY B. DITTUS POSITION: Personal Assistant NATURE: Personal assistant INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 30 START DATE: 02/14/2024 ADDRESS: 7800 Stones River Rd, Chattanooga TN 37421-8201, United States DESCRIPTION: I have a former client that needs assistance in getting her house ready to list for sale. In addition, she had another piece of real estate that was sold in a tax sale and I help her repay the past due property taxes, interest, and penalties. I recommended a realtor and helped her get the property listed for sale.
CRS (Client Relationship Summary) - RIA
Click below to view Sandra Brandt Dittus's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sandra Brandt Dittus'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: 2017
Experience
Current
July 6, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Chattanooga, TN
Current
June 27, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Chattanooga, TN
Past
January 26, 2023 - July 12, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
CHATTANOOGA, TN
Past
November 27, 2019 - July 12, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Chattanooga, TN
Past
April 30, 2015 - January 12, 2017
BARNETT & CO INC
RIA
CRD#: 105867
CHATTANOOGA, TN
Past
October 25, 2011 - April 22, 2015
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
CHATTANOOGA, TN
Past
July 18, 2011 - April 22, 2015
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
CHATTANOOGA, 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
Georgia(6/30/2023)
RR
Tennessee(6/27/2023)
IAR
Tennessee(7/6/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/26/2023
General Securities Representative ExaminationGeneral 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.
