CT
Christopher J. Thomas
PRINCIPAL SECURITIES
Des Moines, IA 50309
Some features on this profile are disabled
CRD#: 6020027
CT
Professional summary
Christopher John Thomas, who also goes by Crhis Thomas, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Christopher has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Crhis Thomas
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 & GROUP BENEFITS. 08/28/12. HEALTH AND MEDICARE. **OUTISDE INSURANCE. 08/28/2012. BROKER HIGH DEDUCTIBLE PART D MEDICARE SUPPLEMENT. **Fixed Insurance, Life, Annuities, DI, LTC, 05/17/17. **Monroe Kiwanis; Not Investment Related; West Des Moines, IA; Vice Presidents; Help coordinate social events for Kiwanis, student month recognition and community improvement activities, attend monthly meetings. No check writing capabilities, investment discussions or handling of funds; Start Date: 11/01/2019; 2 hrs per month; 0 during trading hours. **MONROE KIWANIS POSITION: Past President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2023 ADDRESS: 206 Sherman Street, Monroe IA 50170, United States DESCRIPTION: Help coordinate social events for Kiwanis, student month recognition and community improvement activities, attend monthly meetings. No check writing capabilities, investment discussions or handling of funds. **BENING FINANCIAL (DBA) POSITION: Registered Representative, Senior Financial Advisor NATURE: Fee-based financial planning, Group Insurance, Life Insurance/Annuities, Mutual Funds/Securities/VA/VL, seminars/educational workshops, financial strategies/needs analysis INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 02/10/2025 ADDRESS: 801 Grand Ave, Suite 240, Des Moines IA 50309, United States DESCRIPTION: I will be assisting Bening Financial with current and prospective clients. **HTTR PROPERTIES, LLC POSITION: Co-Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/19/2025 ADDRESS: 114 Dawn Ave, Monroe IA 50170, United States DESCRIPTION: We have started an LLC for a property that we purchased. We are moving the property out of our individual names and into the LLC. I will be the Co-Owner with my wife Tami Thomas and no clients will be involved in this LLC. ** PV=NRT GROUP (DBA) POSITION: Financial Advisor NATURE: Disability Insurance (DI/A&H Insurance), Life Insurance/annuities, Fee Based Financial Planning, Financial Strategies/Needs Analysis, Group Insurance, Mutual Funds/Securities/VA/VL, Seminars/Educational Workshops. All activities will mirror normal PFN activities and current financial advisor activities Chris Thomas is conducting as a PFN advisor. These normal activities will continue for PV=nRT Group but the focus on PV=nRT Group will be engineers and engineering firms and directing these services to this target market. INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2025 ADDRESS: 6701 Westown Parkway, Suite 200, West Des Moines IA 50266, United States DESCRIPTION: PV=nRT Group is a DBA created and designed by Chris Thomas (current PFN advisor) and will be a financial services firm dedicated to serving engineers and engineering firms. Chris Thomas has a degree in chemical engineering and worked in this field for 13 years before becoming a PFN advisor in 2012. PV=nRT is the equation for the ideal gas law. PV=nRT does not stand for anything in the financial services space and is being utilized as a marketing concept to attract engineers and engineering firms to a financial services firm focused on serving the financial services needs of engineers and engineering firms.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher John Thomas's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher John Thomas'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 2, 2012 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 801 Grand Ave Ste 240, Des Moines, IA 50309Office #2: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
Des Moines, IA
Current
March 1, 2012 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 801 Grand Ave Ste 240, Des Moines, IA 50309Office #2: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
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(1/12/2019)
RR
Arizona(3/29/2019)
RR
California(1/12/2019)
RR
Colorado(2/29/2016)
RR
Delaware(8/10/2022)
RR
Florida(9/14/2016)
RR
Georgia(3/29/2019)
RR
Hawaii(12/22/2021)
RR
Idaho(3/29/2019)
RR
Illinois(6/17/2016)
RR
Indiana(10/13/2017)
RR
Iowa(3/14/2012)
IAR
Iowa(4/2/2012)
RR
Kansas(9/12/2017)
RR
Maryland(3/29/2019)
RR
Massachusetts(9/18/2024)
RR
Michigan(1/12/2019)
RR
Minnesota(7/5/2017)
RR
Mississippi(6/2/2021)
RR
Missouri(1/21/2014)
RR
Nebraska(1/22/2019)
RR
North Carolina(3/29/2019)
RR
Ohio(8/4/2016)
RR
Oklahoma(8/4/2020)
RR
South Carolina(3/29/2019)
RR
South Dakota(3/29/2019)
RR
Texas(1/12/2019)
IAR
Texas(3/8/2021)
RR
Utah(10/11/2024)
RR
Virginia(5/4/2020)
RR
Washington(1/12/2019)
RR
Wisconsin(1/12/2019)
Exams
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Des Moines, IA 50309TRUST BUT VERIFY
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