Stuart R. Van Ess
Professional summary
Stuart Roy Van Ess, who also goes by Stuart Roy Vaness, Stuart Van Ess, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Bloomington, Minnesota and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Stuart is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Stuart has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stuart Roy Van Ess's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 5, 2024 - Present
PRINCIPAL ADVISED SERVICES
December 21, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392November 16, 2016 - November 22, 2023
TRANSAMERICA RETIREMENT ADVISORS, LLC
January 2, 2014 - November 22, 2023
TRANSAMERICA INVESTORS SECURITIES, LLC
September 14, 2012 - December 3, 2013
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/21/2023)
(2/8/2024)
(12/21/2023)
(2/5/2024)
(7/25/2025)
Exams
FINRA
Current Firm
PRINCIPAL ADVISED SERVICES
CRD#: 297324 / SEC#: 801-114432
Contact information
SEC notice filing (51 States and Territories)
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 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 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.
