David R. Bowles
PRINCIPAL SECURITIES | Financial Advisor
Downers Grove, IL 60515
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CRD#: 6197788
Professional summary
David Ross Bowles, who also goes by David R Bowles, David Ross Bowles III, David Ross Bowles, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Downers Grove, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. David has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David R Bowles | David Ross Bowles Iii | David Ross Bowles
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.
(1) UBER POSITION: Driver NATURE: Driver for hire INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 03/11/2024 ADDRESS: Home Address, Chicago IL 60601, United States DESCRIPTION: Driving customers to their destination safely
CRS (Client Relationship Summary) - RIA
Click below to view David Ross Bowles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view David Ross Bowles'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
July 1, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3333 Finley Rd Ste 500, Downers Grove, IL 60515RIA
BD
CRD#: 1137
Downers Grove, IL
Current
July 1, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 3333 Finley Rd Ste 500, Downers Grove, IL 60515RIA
BD
CRD#: 1137
Downers Grove, IL
Past
December 11, 2023 - June 23, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
EVANSTON, IL
Past
December 11, 2023 - June 23, 2025
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
EVANSTON, IL
Past
September 18, 2020 - November 17, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
CHICAGO, IL
Past
September 18, 2020 - November 17, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
Past
September 17, 2019 - August 18, 2020
TD AMERITRADE, INC.
RIA
CRD#: 7870
DAVENPORT, IA
Past
September 17, 2019 - August 18, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Davenport, IA
Past
September 16, 2019 - August 18, 2020
TD AMERITRADE, INC.
BD
CRD#: 7870
DAVENPORT, IA
Past
February 27, 2018 - July 25, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
WILMETTE, IL
Past
February 26, 2018 - July 25, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
WILMETTE, IL
Past
February 26, 2018 - July 25, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
WILMETTE, IL
Past
November 15, 2016 - February 26, 2018
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
October 20, 2016 - February 26, 2018
SCOTTRADE, INC.
BD
CRD#: 8206
WILMETTE, IL
Past
July 24, 2015 - September 26, 2016
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
ORLAND PARK, IL
Past
April 7, 2014 - January 23, 2015
EDWARD JONES
RIA
CRD#: 250
LAKE ZURICH, IL
Past
March 17, 2014 - January 23, 2015
EDWARD JONES
BD
CRD#: 250
LAKE ZURICH, IL
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
Florida(7/3/2025)
RR
Illinois(7/1/2025)
IAR
Illinois(7/1/2025)
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.
Company Information
PRINCIPAL SECURITIES, INC.
Financial AdvisorCRD#: 1137Downers Grove, IL 60515TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
