HB
Holly D. Bloom
PRINCIPAL SECURITIES
Lake Elmo, MN 55042
Some features on this profile are disabled
CRD#: 6509223
HB
Professional summary
Holly Day Bloom, who also goes by Holly D Perry, Holly Perry, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Lake Elmo, Minnesota.
Holly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Holly has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Holly D Perry | Holly Perry
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, LTC, DI, Life, Annuities, Health, Medical, Supplemental, 1/11/16. **Fixed Insurance; Investment Related; 8530 Eagle Pt Blvd #125, Lake Elmo, MN 55042; Agent; Accident, Critical illness, Cancer; Start Date: 11/07/2017; 2 hrs per month; 1 during trading hours. **Bloom Acres, LLC; Not Investment Related; River Falls, WI; Owner; Owns land rented to farm. Receives rental income.; Start Date: 07/01/2020; 10 hrs per month; 0 during trading hours. **INSURANCE CANNADAY BLOOM WEALTH AND INSURANCE SOLUTIONS POSITION: Managing Partner NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 4 START DATE: 09/01/2021 ADDRESS: 8530 Eagle Point Blvd Ste 125, Lake Elmo MN 55042, United States DESCRIPTION: We have a DBA/LLC we know use to brand ourselves. We will also have commissions for non-Principal health insurance and group nonmedical insurance pay to this LLC. **INSURANCE POSITION: Insperity NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 3 START DATE: 06/01/2023 ADDRESS: 8530 Eagle Point Blvd Ste 125, Lake Elmo MN 55042, United States DESCRIPTION: I am referring some group health and nonmedical benefits to Insperity and receiving 1099 compensation from them. **B & C CONCRETE POSITION: B & C Concrete NATURE: Concrete Company INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/20/2016 ADDRESS: 8530 Eagle Point Blvd Ste 125, Lake Elmo MN 55042, United States DESCRIPTION: My husband owns a concrete company with his brother, Michael Bloom. I am not a member of their partnership, but I was told to file the OBA regardless since in Wisconsin I am tied to the business by marriage. **RIVER FALLS GOLF CLUB POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 3 START DATE: 12/15/2023 ADDRESS: 2120 E Division St, River Falls WI 54022, United States DESCRIPTION: Purchased and own golf club my husband manages **BLOOM HOLDINGS POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/15/2023 ADDRESS: 2120 E Division St, River Falls WI 54022, United States DESCRIPTION: This is the real-estate holding company for the golf club real-estate we bought. **ST CROIX VALLEY EMPLOYER'S ASSOCIATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/19/2024 ADDRESS: 8530 Eagle Point Blvd Ste 125, Lake Elmo MN 55042, United States DESCRIPTION: I am a board member for a group which brings educational opportunities to local businesses regarding topics such as business law, group benefits, employee retention, manager training, etc. We meet monthly virtually. **ST CROIX ECONOMIC DEVELOPMENT CORPORATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/01/2025 ADDRESS: 8530 Eagle Point Blvd Ste 125, Lake Elmo MN 55042, United States DESCRIPTION: I will be participating in monthly board meetings discussing committees and items/events committed to economic development in our county such as workforce availability, housing, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Holly Day Bloom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Holly Day Bloom'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 6, 2017 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042Office #2: 2120 E Division St, River Falls, WI 54022RIA
BD
CRD#: 1137
Lake Elmo, MN
Current
June 17, 2015 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 8530 Eagle Point Blvd Ste 125, Lake Elmo, MN 55042Office #2: 2120 E Division St, River Falls, WI 54022RIA
BD
CRD#: 1137
Lake Elmo, MN
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(1/31/2022)
RR
California(1/31/2022)
RR
Colorado(12/13/2020)
RR
Florida(1/26/2022)
RR
Georgia(4/29/2020)
RR
Hawaii(1/31/2022)
RR
Illinois(3/19/2024)
RR
Indiana(7/24/2023)
RR
Iowa(11/18/2019)
RR
Kansas(4/6/2018)
RR
Louisiana(12/13/2020)
RR
Massachusetts(11/25/2024)
RR
Michigan(8/29/2024)
RR
Minnesota(7/14/2015)
IAR
Minnesota(11/6/2017)
RR
Missouri(3/26/2025)
RR
Nevada(1/31/2022)
RR
New Hampshire(3/19/2024)
RR
New Mexico(2/19/2025)
RR
New York(3/19/2024)
RR
North Dakota(10/25/2024)
RR
Ohio(11/18/2019)
RR
Pennsylvania(1/12/2024)
RR
South Carolina(2/1/2023)
RR
South Dakota(1/30/2022)
RR
Texas(4/14/2020)
IAR
Texas(3/8/2021)
RR
Washington(4/22/2025)
RR
Wisconsin(7/14/2015)
IAR
Wisconsin(6/19/2025)
RR
Wyoming(12/22/2023)
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)
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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.
