SM
Shawn B. Mahoney
PRINCIPAL SECURITIES
Saint Louis, MO
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CRD#: 6411181
SM
Professional summary
Shawn Benjamin Mahoney, who also goes by Shawn Mahoney, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Saint Louis, Missouri.
Shawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Shawn has worked at 3 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shawn Mahoney
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 SALES VIA PPN/CRUMP POSITION: Financial Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 04/28/2025 ADDRESS: 1800 S Brentwood Blvd, Apt 1424, St. Louis MO 63144, United States DESCRIPTION: Offering Non-proprietary Insurance products and services via PPN/Crump for through various carriers for LTC; Life Insurance; Annuities; DI and group insurance. **VARSITY TUTORS POSITION: Tutor NATURE: Tutoring INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 8 START DATE: 10/20/2025 ADDRESS: 1800 S Brentwood Blvd, Apt 1424, St. Louis MO 63144, United States DESCRIPTION: I tutor clients age 12 to unlimited in approved tutoring subjects. Subjects include ACT/SAT/SSAT, Anthropology, Chinese, Finance, Sociology, Work History and more. most hours are outside of trading hours, occasionally I will tutor during trading hours. All tutoring occurs online.
CRS (Client Relationship Summary) - RIA
Click below to view Shawn Benjamin Mahoney's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Shawn Benjamin Mahoney'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
April 1, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 625 Maryville Centre Dr Ste 110, Saint Louis, MO 63141RIA
BD
CRD#: 1137
Saint Louis, MO
Current
April 1, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 625 Maryville Centre Dr Ste 110, Saint Louis, MO 63141RIA
BD
CRD#: 1137
Saint Louis, MO
Past
June 26, 2024 - March 3, 2025
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CREVE COEUR, MO
Past
January 16, 2015 - July 17, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
ST. LOUIS, MO
Past
December 4, 2014 - July 17, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
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
Arkansas(4/1/2025)
RR
Colorado(4/1/2025)
RR
Florida(4/1/2025)
RR
Illinois(4/1/2025)
RR
Indiana(4/1/2025)
RR
Iowa(4/1/2025)
RR
Kansas(4/1/2025)
RR
Missouri(4/1/2025)
IAR
Missouri(4/1/2025)
RR
New Mexico(4/1/2025)
RR
Oregon(4/1/2025)
RR
Texas(4/1/2025)
IAR
Texas(4/1/2025)
RR
Wisconsin(4/1/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 6/26/2024
Investment Company Products/Variable Contracts 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)
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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.
