NG
Nicholas G. Gabriel
PRINCIPAL SECURITIES
Anamosa, IA 52205
Some features on this profile are disabled
CRD#: 6278265
NG
Professional summary
Nicholas Gene Gabriel, who also goes by Nick Gabriel, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Anamosa, Iowa.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Nicholas has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nick Gabriel
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,SELLING HEALTH INSURANCE THROUGH VARIOUS CARRIERS,3/18/14. ***Fixed Insurance, Fixed life, fixed annuities, DI and LTC, 12/19/16. INSURANCE POSITION: Whitney & Associates NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2023 ADDRESS: 2015 Grand Ave, Des Moines IA 50312, United States DESCRIPTION: This is for fixed insurance. PPN sat on application and put me through a whole bunch or worthless follow up to decline the app through Athene so I wanted to find a similar rate outside of PPN. PPN has had horrific turnaround times so I am guiny pig this app to see how long it takes to turn around.
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Gene Gabriel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nicholas Gene Gabriel'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
May 18, 2016 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 106 S Ford St, Anamosa, IA 52205Office #2: 1059 Longfellow Dr Ste A, Hiawatha, IA 52233RIA
BD
CRD#: 1137
Anamosa, IA
Current
January 24, 2014 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 106 S Ford St, Anamosa, IA 52205Office #2: 1059 Longfellow Dr Ste A, Hiawatha, IA 52233RIA
BD
CRD#: 1137
Anamosa, 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(4/11/2022)
RR
Arkansas(9/18/2023)
RR
California(1/11/2023)
RR
Colorado(9/3/2019)
RR
Florida(4/11/2022)
RR
Idaho(2/8/2022)
RR
Illinois(9/3/2019)
RR
Iowa(1/29/2014)
IAR
Iowa(5/18/2016)
RR
Kansas(11/14/2016)
RR
Minnesota(9/3/2019)
RR
Missouri(9/3/2019)
RR
New Mexico(2/14/2023)
RR
New York(11/30/2022)
RR
North Carolina(9/3/2019)
RR
North Dakota(10/4/2024)
RR
Ohio(1/17/2023)
RR
Pennsylvania(1/13/2023)
RR
South Dakota(1/2/2015)
RR
Texas(9/3/2019)
IAR
Texas(3/8/2021)
RR
Utah(10/4/2024)
RR
Washington(1/13/2023)
RR
Wisconsin(9/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/17/2022
General Securities Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
