Andrew James Paolini
Professional Summary
Andrew James Paolini is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Des Moines, Iowa and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina. Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Andrew has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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PRINCIPAL SECURITIES, INC.
Videos & Posts
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PRINCIPAL SECURITIES, INC.
Contact Information
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PRINCIPAL SECURITIES, INC.
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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PRINCIPAL SECURITIES, INC.
Years of Experience
14 years in the financial services industry
Current & Past Employments
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PRINCIPAL SECURITIES, INC.
Current Firm
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
Contact Information
Main Address
655 9th Street, Des Moines, IA 50309Mailing Address
711 High Street, Des Moines, IA 50392Phone Number
(866) 412-0770# of Employees
383SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
23,164AUM (Assets Under Management)
$1,422,868,428Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/24/2026 | Cover Page | Report |
| 09/26/2025 | Cover Page | Report |
| 10/28/2024 | Cover Page | Report |
| 11/20/2023 | Cover Page | Report |
| 09/22/2023 | Cover Page | Report |
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PRINCIPAL SECURITIES, INC.
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.
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PRINCIPAL SECURITIES, INC.
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
State Registrations and Notice Filings
(12/10/2021)
(12/10/2021)
(12/10/2021)
(12/10/2021)
(4/5/2024)
(12/10/2021)
(12/6/2021)
(7/13/2021)
(6/23/2023)
(12/10/2021)
(12/10/2021)
(12/10/2021)
(12/10/2021)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 2012About the Series 6 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed May 2020About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2019About the Series 9 examSRO Registrations
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PRINCIPAL SECURITIES, INC.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew James Paolini's CRS (Customer Relationship Summary).
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PRINCIPAL SECURITIES, INC.
