BD
Brendan J. Dwyer
PRINCIPAL SECURITIES
Philadelphia, PA
Some features on this profile are disabled
CRD#: 6087228
BD
Professional summary
Brendan John Dwyer is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Philadelphia, Pennsylvania.
Brendan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Brendan has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.
**OUTSIDE INSURANCE POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 09/24/2021 ADDRESS: 550 E Swedesford Rd Suite 240, Wayne PA 19087, United States DESCRIPTION: Selling outside insurance including LTC, Annuities (fixed and variable), Group and Individual Life, DI, Health and Medical. **OUR MOTHER OF CONSOLATION PARISH SCHOOL BOARD OF LIMITED JURISDICTION (BLJ) POSITION: Member of Board of Limited Jurisdiction NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/03/2023 ADDRESS: 17 E Chestnut Hill Ave, Philadelphia PA 19118, United States DESCRIPTION: As a member of the Our Mother of Consolation Parish School Board of Limited Jurisdiction (BLJ) I will collaborate with the school Principal, parish Pastor, and other board members to foster the highest possible standards of academic and Catholic religious education for all students. Responsibilities will be to attend scheduled board meetings and collaborate with other members in discussing school development, advancement, programs, membership and more. **THE GOD'S CHILD PROJECT POSITION: Member of Board of Directors NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 05/04/2023 ADDRESS: 8085 Wayzata Boulevard #200, Golden Valley MN 55426, United States DESCRIPTION: As a Member of the Board of Directors for The GOD'S CHILD Project, I will provide oversight and governance around organizational matters for the non-profit. This will include upholding and advancing the organization's mission and purpose, articulating goals and impact made, monitoring organizational programs and services, setting compensation levels for key roles in the organization, maintaining financial integrity and transparency, supporting fundraising efforts, managing resources, participating in service trips, providing short and long term strategic planning for the non-profit, supporting and evaluating the chief executive officer, and board recruitment and assessment of board performance. **LLC FOR BUSINESS EXPENSES POSITION: Dwyer Wealth Management LLC NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 12/16/2024 ADDRESS: 550 E. Swedesford Road, Wayne PA 19087, United States DESCRIPTION: We established an LLC for our team under Dwyer Wealth Management LLC. Timothy Dwyer, Michael Dwyer, and I are equal partners of the LLC. We will be using the LLC for business expenses such as taxes, payroll, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Brendan John Dwyer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brendan John Dwyer'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
October 21, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 550 E Swedesford Rd Ste 240, Wayne, PA 19087RIA
BD
CRD#: 1137
Philadelphia, PA
Current
October 16, 2021 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 550 E Swedesford Rd Ste 240, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
Past
May 23, 2019 - December 17, 2019
JANNEY MONTGOMERY SCOTT LLC
RIA
CRD#: 463
PHILADELPHIA, PA
Past
May 9, 2017 - December 17, 2019
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, PA
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(10/21/2022)
RR
Florida(4/11/2022)
RR
Georgia(4/11/2022)
RR
Illinois(1/22/2025)
RR
Indiana(10/21/2022)
RR
Louisiana(4/11/2022)
RR
Maryland(10/14/2022)
RR
Massachusetts(4/13/2022)
RR
Minnesota(4/11/2022)
RR
New Jersey(4/20/2022)
RR
New York(7/24/2024)
RR
North Dakota(4/11/2022)
RR
Pennsylvania(10/16/2021)
IAR
Pennsylvania(10/21/2021)
RR
Texas(4/11/2022)
IAR
Texas(4/11/2022)
RR
Virginia(10/7/2022)
RR
Washington(4/29/2022)
RR
Wisconsin(8/7/2024)
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.
