SM
Sydney A. Manderson
PRINCIPAL SECURITIES
Tampa, FL 33609
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CRD#: 6385407
SM
Professional summary
Sydney Alexander Manderson is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Tampa, Florida.
Sydney is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Sydney has worked at 1 firm and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
***Fixed Insurance, Life, Annuities, LTC, DI, 02/14/17. ***Fixed Insurance; Investment Related; Tampa, FL; Broker; Group Benefits; Start Date: 02/13/2020; 1 hrs per month; 1 during trading hours. ***SAFETY HARBOR CHAMBER OF COMMERCE POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 09/14/2021 ADDRESS: 200 Main St., Safety Harbor FL 34695, United States DESCRIPTION: Board member at the Safety Harbor Chamber of Commerce. This role will entail being active within the community and helping to make decisions, not investment/financial, that are in the best interest of the community. ***MANDERSON FINANCIAL GROUP, LLC POSITION: Owner/MGR NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/17/2021 ADDRESS: 11316 Oakhaven Dr., Pinellas Park FL 33782, United States DESCRIPTION: My CPA recommended that I create an LLC for tax purposes. I will not be promoting Manderson Financial Group, LLC and will be continuing to use my DBA Manderson Wealth Strategies. ***SACRED HEART CATHOLIC CHURCH POSITION: Finance Council Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/29/2024 ADDRESS: 7809 46th Way North, Pinellas Park FL 33781, United States DESCRIPTION: Member of the Sacred Heart Catholic Church Finance council. This role discusses the churches balance sheets, expenses, assets, and liabilities with the other finance council members for the greater good of the church.
CRS (Client Relationship Summary) - RIA
Click below to view Sydney Alexander Manderson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sydney Alexander Manderson'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
November 1, 2018 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4830 W Kennedy Blvd Ste 550, Tampa, FL 33609RIA
BD
CRD#: 1137
Tampa, FL
Current
September 24, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4830 W Kennedy Blvd Ste 550, Tampa, FL 33609RIA
BD
CRD#: 1137
Tampa, FL
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(6/6/2025)
RR
California(1/19/2022)
RR
Colorado(1/19/2022)
RR
Connecticut(7/14/2022)
RR
Florida(10/1/2015)
IAR
Florida(11/1/2018)
RR
Georgia(7/10/2023)
RR
Hawaii(8/27/2025)
RR
Maryland(10/25/2019)
RR
New Jersey(7/14/2022)
RR
New York(7/14/2022)
RR
North Carolina(2/8/2023)
RR
Ohio(5/11/2022)
RR
Pennsylvania(10/21/2021)
RR
Texas(3/12/2020)
IAR
Texas(6/18/2021)
RR
Virginia(11/28/2018)
RR
Wisconsin(9/17/2024)
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.
CRD#: 1137Tampa, FL 33609TRUST BUT VERIFY
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