Andrew J. Paolini

PRINCIPAL ADVISED SERVICES

DES MOINES, IA 50392

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CRD#: 6058133

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.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

***Charlotte Adult Baseball League; Not Investment Related; Charlotte, NC; Treasurer; Take audited books of the accountant and report back findings to board. Translate prepared annual and monthly reports to board. Approve purchases/expenses, ensure taxes are filed. Create and manage budgets.; Start Date: 01/01/2019; 5 hrs per month; 0 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew James Paolini's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 23, 2023 - Present

PRINCIPAL ADVISED SERVICES

Office #1: 575 7th St, Des Moines, IA 50392

RIA

CRD#: 297324

DES MOINES, IA

Current

July 13, 2021 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262

RIA

CRD#: 1137

Charlotte, NC

Past

July 10, 2012 - June 25, 2021

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

CHARLOTTE, NC

Past

June 5, 2012 - June 25, 2021

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

CHARLOTTE, NC

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 ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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.

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

Arkansas
(12/10/2021)

Colorado
(12/10/2021)

Connecticut
(12/10/2021)

Florida
(12/10/2021)

IAR

Iowa
(4/5/2024)

Massachusetts
(12/10/2021)

Nebraska
(12/6/2021)

North Carolina
(7/13/2021)

IAR

North Carolina
(6/23/2023)

Oklahoma
(12/10/2021)

South Dakota
(12/10/2021)

Utah
(12/10/2021)

Vermont
(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

State Security Law Exam

IAR

Series 65

Date: 7/3/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/13/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/28/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/4/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 5/16/2020

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 8/29/2019

General Securities Sales Supervisor - Options Module Examination

SRO Registrations

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA

Registered Investment Advisory firm - (12/14/2018 Approved)

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Contact information

Main Address

655 9th Street, Des Moines, IA 50309

Mailing Address

711 High Street, Des Moines, IA 50392

Phone number

(866) 412-0770

Established

Firm type

Fiscal year end

# of Employees

343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PAS ADV 2A ADVICE BROCHURE (3/31/2025)

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	16,940
AUM (Assets Under Management)	$ 887,316,440

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E 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
12/20/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Andrew J. Paolini

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew James Paolini's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

Primary Firm SEC Registration

PRINCIPAL ADVISED SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/3/2012

Series 63

Date: 6/13/2012

SIE

Date: 10/1/2018

Series 7

Date: 3/28/2014

Series 6

Date: 6/4/2012

Series 10

Date: 5/16/2020

Series 9

Date: 8/29/2019

FINRA

Current Firm

PRINCIPAL ADVISED SERVICES

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL ADVISED SERVICES

TRUST BUT VERIFY

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