MS
Marlon J. Shkaidy
PRINCIPAL SECURITIES
Elkhorn, NE 68022
Some features on this profile are disabled
CRD#: 6444749
MS
Professional summary
Marlon Jean Shkaidy is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Elkhorn, Nebraska.
Marlon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Marlon has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 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 POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 40 START DATE: 10/01/2023 ADDRESS: 18205 Capitol Ave, Ste 300, Elkhorn NE 68022, United States DESCRIPTION: Fixed Insurance: Life, disability, annuities, long term care, health, Medicare supplement and group benefits. **BENNINGTON YOUTH FOOTBALL POSITION: Coach NATURE: Coaching Youth Tackle and Flag Football INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 0 START DATE: 07/18/2024 ADDRESS: 11201 N 168th St, Bennington NE 68007, United States DESCRIPTION: I will be serving as the Head Coach for the Bennington Jr Badgers 6th Grade White Team for the fall 2024 season. In this capacity I am responsible for all aspects of team operations, including holding team practices, coaching on game days and all team communications with the league, my organization and parents. I will also be coaching the 2nd Grade Chiefs Flag Football team for the fall 2024 season. In this capacity I am responsible for all aspects of team operations, including holding team practices, coaching on game days and all team communications with the league, my organization and parents.
CRS (Client Relationship Summary) - RIA
Click below to view Marlon Jean Shkaidy's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Marlon Jean Shkaidy'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
October 10, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 18205 Capitol Ave Ste 300, Elkhorn, NE 68022RIA
BD
CRD#: 1137
Elkhorn, NE
Current
October 5, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 18205 Capitol Ave Ste 300, Elkhorn, NE 68022RIA
BD
CRD#: 1137
Elkhorn, NE
Past
June 29, 2015 - October 10, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
OMAHA, NE
Past
February 13, 2015 - October 10, 2023
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
OMAHA, NE
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
Alaska(10/5/2023)
RR
Arizona(10/5/2023)
RR
Florida(10/27/2023)
RR
Illinois(3/14/2024)
RR
Iowa(10/5/2023)
RR
Nebraska(10/5/2023)
IAR
Nebraska(10/12/2023)
RR
New York(9/26/2024)
RR
Pennsylvania(10/5/2023)
RR
South Dakota(1/10/2024)
RR
Texas(10/5/2023)
IAR
Texas(10/10/2023)
RR
Wisconsin(10/26/2023)
Exams
State Security Law Exam
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)
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.
Company Information
PRINCIPAL SECURITIES, INC.
CRD#: 1137Elkhorn, NE 68022TRUST BUT VERIFY
Monitor Marlon Shkaidy
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
