Matthew Dipuppo
PRINCIPAL SECURITIES
Wayne, PA 19087
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CRD#: 6278264
Professional summary
Matthew Dipuppo, CFP®, who also goes by Matt Dipuppo, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Wayne, Pennsylvania.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Matthew has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Matt Dipuppo
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, P&C, FIXED LIFE & ANNUITIES, DI, LTC, GROUP, HEALTH, 3/31/15. **RENTAL PROPERTY, CO-OWNER, 6/11/15. **Kodiak Wealth Management LLC; Not Investment Related; 301 Church St, Conshohocken, PA 19428; Owner; LLC established to hold name of DBA; Start Date: 12/17/2017; 0 hrs per month; 0 during trading hours. **West Conshohocken Planning Commission; Not Investment Related; Conshohocken, PA; Unpaid position obtained through appointment by borough council. The role of the planning commission is to advise on issues and policies related to planning, land use regulation, and community development.; Start Date: 02/06/2020; 3 hrs per month; 0 during trading hours. **KODIAK TAX SOLUTIONS POSITION: Owner NATURE: CPA/Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2021 ADDRESS: 104 Apel Ave, Oreland PA 19075, United States DESCRIPTION: It is an existing tax preparation business I am purchasing. The business is primarily engaged in preparing tax returns for individual and businesses **WEST CONSHOHOCKEN ZONING BOARD POSITION: West Conshohocken Zoning Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 112 Ford St, West Conshohocken PA 19428, United States DESCRIPTION: Zoning board member, appointed by Borough Council. Meet monthly with the rest of the board to review zoning concerns within the borough. **TRASH COW COMPANY POSITION: LLC NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/27/2009 ADDRESS: 157 Cedar Ave, Conshohocken PA 19428, United States DESCRIPTION: This is an S Corp that was created for a potential business in 2009. No business was ever conducted. Does not have any revenue or operations. Currently working to dissolve.
CRS (Client Relationship Summary) - RIA
Click below to view Matthew Dipuppo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Matthew Dipuppo'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: 2018
Experience
Current
August 6, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 550 E Swedesford Rd Ste 240, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
Current
January 24, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 550 E Swedesford Rd Ste 240, Wayne, PA 19087RIA
BD
CRD#: 1137
Wayne, PA
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
Colorado(4/24/2025)
RR
Connecticut(3/21/2024)
RR
Delaware(2/25/2020)
RR
Florida(4/13/2018)
RR
Georgia(4/10/2018)
RR
Maryland(1/6/2016)
RR
Massachusetts(4/24/2024)
RR
New Jersey(12/2/2014)
RR
New York(5/12/2023)
RR
North Carolina(4/12/2024)
RR
Pennsylvania(3/3/2014)
IAR
Pennsylvania(8/6/2014)
RR
Tennessee(2/25/2019)
RR
Texas(1/10/2019)
IAR
Texas(3/6/2021)
RR
Virginia(7/21/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
