DV
Diego A. Verdugo
PRINCIPAL SECURITIES
Phoenix, AZ 85016
Some features on this profile are disabled
CRD#: 6177961
DV
Professional summary
Diego Armando Verdugo, CFP®, who also goes by Diego Verdugo, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Phoenix, Arizona.
Diego is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Diego has worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diego Verdugo
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.
**ASSOCIATION OF LATINO PROFESSIONALS OF AMERICA POSITION: Executive Vice President - Business Development NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2018 ADDRESS: 2522 E Marguerite Ave, Phoenix AZ 85040 DESCRIPTION: ALPFA supports over 100,000 Latino students, professionals, and entrepreneurs through more than 45 professional chapters and 160 student chapters at major colleges and universities nationwide. **JUNIOR ACHIEVEMENT OF ARIZONA POSITION: Board Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2020 ADDRESS: 2522 E Marguerite Ave, Phoenix AZ 85040 DESCRIPTION: Junior Achievement's mission is to inspire and prepare young people to succeed in a global economy. Delivered by 8,000+ business and community volunteer mentors, JA's hands-on, age-appropriate programs focus on three key areas: financial literacy, work readiness, and entrepreneurship. **INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 10 START DATE: 12/05/2022 ADDRESS: 2355 E Camelback Road, Suite #501, Phoenix AZ 85016 DESCRIPTION: Fixed insurance: Life, Disability, Annuities, Long Term Care, Health, Medicare Supplements, and Group Benefits. **CFP BOARD POSITION: CFP Board Ambassador NATURE: CFP Board Ambassador INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/20/2023 ADDRESS: 2522 E Marguerite Ave, Phoenix AZ 85040 DESCRIPTION: The Ambassador Program volunteers contribute time and professional expertise to increase total awareness of and preference for a CFP professional among consumers. **LOS CABALLEROS POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 11/04/2024 ADDRESS: 2522 E Marguerite Ave, Phoenix AZ 85040 DESCRIPTION: Los Caballeros are a developing networking group with the aim of getting non-profit incorporation in the near future. Our mission revolves around fostering a culture of honor, leadership, brotherhood, and service to drive positive change in underserved communities. **PACIFIC SOUTHWEST MINORITY SUPPLIER DEVELOPMENT COUNCIL POSITION: Board Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 01/13/2025 ADDRESS: 2522 E Marguerite Ave, Phoenix AZ 85040 DESCRIPTION: Board Member Responsibilities: Advocate the mission of the council within your organization and externally within the community and serve as public face between organization and prospects. **ORGULLO SONORA CONSTRUCTION, LLC POSITION: Managing Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 03/03/2025 ADDRESS: 2522 E Marguerite Ave, Phoenix AZ 85040-2640, United States DESCRIPTION: Founding a construction company in partnership with my wife. My primary role will entail being a co-managing member with her and providing general business consulting guidance to the business.
CRS (Client Relationship Summary) - RIA
Click below to view Diego Armando Verdugo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diego Armando Verdugo'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®
CFP®
Start date: 2021
Experience
Current
December 15, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2355 E Camelback Rd Ste 501, Phoenix, AZ 85016RIA
BD
CRD#: 1137
Phoenix, AZ
Current
December 13, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2355 E Camelback Rd Ste 501, Phoenix, AZ 85016RIA
BD
CRD#: 1137
Phoenix, AZ
Past
January 24, 2018 - December 8, 2022
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
Past
June 3, 2015 - January 25, 2018
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
PHOENIX, AZ
Past
May 3, 2013 - March 3, 2014
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, 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(12/13/2022)
IAR
Arizona(12/15/2022)
RR
California(12/13/2022)
RR
Colorado(12/13/2022)
RR
Florida(6/26/2024)
RR
Idaho(12/13/2022)
RR
Indiana(8/27/2024)
RR
Nevada(12/13/2022)
RR
New Mexico(12/13/2022)
RR
New York(6/5/2024)
RR
Oregon(12/13/2022)
RR
Texas(2/22/2024)
IAR
Texas(2/22/2024)
RR
Utah(12/13/2022)
RR
Washington(12/13/2022)
RR
Wisconsin(6/26/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
