TA
Tyler R. Auman
PRINCIPAL SECURITIES
Hiawatha, IA 52233
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CRD#: 6107630
TA
Professional summary
Tyler R Auman, who also goes by Tyler Richard Auman, Tyler Auman, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Hiawatha, Iowa.
Tyler is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Tyler has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tyler Richard Auman | Tyler Auman
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; Investment Related; Cedar Rapids, IA; Agent; Fixed LI, DI, Annuities, LTC; Start Date: 11/01/2018; 1 hrs per month; 1 during trading hours. **NAIFA EASTERN IOWA CHAPTER POSITION: Program Chair NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: PO Box 10652, Cedar Rapids IA 52410, United States DESCRIPTION: Organize events including location, schedule, presenters, topics, and to provide continuing education opportunities to our members. **INSURANCE POSITION: Cedar Wealth Advisors, LLC NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 7 START DATE: 07/16/2025 ADDRESS: 1059 Longfellow Dr STE A, Hiawatha IA 52233, United States DESCRIPTION: I am establishing a limited liability company, Cedar Wealth Advisors, LLC and there are no changes to business operations. Products and services will be offered in Securities, Investments, Fixed Life, Fixed annuities, Long-term care insurance, Variable Annuities, and Indexed annuities that are available with Principal Securities, Principal Life, and the Preferred Product Network.
CRS (Client Relationship Summary) - RIA
Click below to view Tyler R Auman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tyler R Auman'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 23, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1059 Longfellow Dr Ste A, Hiawatha, IA 52233RIA
BD
CRD#: 1137
Hiawatha, IA
Current
September 24, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1059 Longfellow Dr Ste A, Hiawatha, IA 52233RIA
BD
CRD#: 1137
Hiawatha, 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
Arizona(11/2/2023)
RR
California(11/13/2024)
RR
Florida(6/18/2025)
RR
Illinois(6/29/2022)
RR
Iowa(10/23/2018)
IAR
Iowa(10/23/2018)
RR
Minnesota(9/2/2021)
RR
Oklahoma(8/15/2023)
RR
Texas(7/11/2019)
IAR
Texas(6/16/2021)
RR
Washington(5/26/2020)
RR
Wisconsin(5/5/2021)
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.
