TG
Tracy L. Gran
PRINCIPAL SECURITIES
Sioux Falls, SD 57108
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CRD#: 6120974
TG
Professional summary
Tracy Lee Gran, who also goes by Tracey Lee Gran, Tracy Lee Gran, Tracy Lee Oberembt, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Sioux Falls, South Dakota.
Tracy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Tracy has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tracey Lee Gran | Tracy Lee Gran | Tracy Lee Oberembt
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: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 15 START DATE: 04/12/2022 ADDRESS: 4910 S. Isabel Pl, Sioux Falls SD 57108, United States DESCRIPTION: Fixed life, DI and Annuities. Individual and group health, LTC, medical, dental, life and DI. **HABITAT FOR HUMANITY SIOUX FALLS POSITION: Committee Member NATURE: Habitat Committee Member INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/15/2005 ADDRESS: 721 E Amidon St, Sioux Falls SD 57104, United States DESCRIPTION: I sit on the committee selects which families/individuals receive a house. There is a 9-month process including a scoring system and a lot of rules/guidelines for qualifying for a house. I do not make any decision alone. I will always be partnered with someone to do any interview of applicant or when a home visit is conducted. All information is then brought to the full committee and put through the scoring system to make sure it is fair for applicants **ROVER POSITION: Rover NATURE: Pet Sitting INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2024 ADDRESS: 1328 W. Whitechurch Lane, Sioux Falls SD 57108, United States DESCRIPTION: Pet sitting in my home for people-mainly on weekends. Rover has an app that is used to process the transactions, etc. and to communicate any requests regarding the care of the dogs
CRS (Client Relationship Summary) - RIA
Click below to view Tracy Lee Gran's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tracy Lee Gran'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
August 1, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4910 S Isabel Pl Ste 100, Sioux Falls, SD 57108RIA
BD
CRD#: 1137
Sioux Falls, SD
Current
March 21, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4910 S Isabel Pl Ste 100, Sioux Falls, SD 57108RIA
BD
CRD#: 1137
Sioux Falls, SD
Past
February 11, 2013 - March 17, 2022
NYLIFE SECURITIES LLC
BD
CRD#: 5167
SIOUX FALLS, SD
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(3/13/2023)
RR
Arkansas(5/23/2022)
RR
Florida(7/19/2024)
RR
Iowa(5/23/2022)
RR
Louisiana(3/27/2024)
RR
Minnesota(5/23/2022)
RR
Montana(4/9/2025)
RR
Nebraska(5/23/2022)
RR
New Jersey(9/7/2023)
RR
North Dakota(4/19/2022)
RR
South Dakota(3/21/2022)
IAR
South Dakota(8/1/2023)
RR
Tennessee(6/13/2022)
RR
Texas(1/5/2024)
RR
Wisconsin(2/26/2025)
Exams
State Security Law Exam
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Sioux Falls, SD 57108TRUST BUT VERIFY
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