KH
Katelyn D. Harder
PRINCIPAL SECURITIES
West Des Moines, IA 50266
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CRD#: 6539912
KH
Professional summary
Katelyn Dare Harder, who also goes by Katelyn Dare Andres, Katelyn Andres, Katie Dare Harder, Katelyn Dare Walker, Katelyn Walker, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in West Des Moines, Iowa.
Katelyn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Katelyn has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Katelyn Dare Andres | Katelyn Andres | Katie Dare Harder | Katelyn Dare Walker | Katelyn Walker
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.
1) 7/2021 - DBA for LPL Business (entity for LPL business) - LSB Wealth Management - Investment Related - Des Moines, IA 50309 2) 7/2021 - Financial Institution Duty - Lincoln Savings Bank - Investment Related - Des Moines, IA 50309 3) 08/01/2023 - LSB Capital Management, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Admin and Management Duties - Start Date 01/21/2022 - 5 Hours Per Month/ 5 Hours During Trading - Time Spent 100% - I provide administrative support to LSB Capital Management, Inc., an independent investment advisor firm. I started this business activity in 8/2023. I expect to spend approximately 100 hours per month on this activity. Please see the advisory firm�s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Katelyn Dare Harder's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Katelyn Dare Harder'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
July 1, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, IA
Current
July 1, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 6701 Westown Pkwy Ste 200, West Des Moines, IA 50266RIA
BD
CRD#: 1137
West Des Moines, IA
Past
January 6, 2022 - July 1, 2025
LSB WEALTH MANAGEMENT
RIA
CRD#: 310466
Des Moines, IA
Past
July 1, 2021 - December 16, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
DES MOINES, IA
Past
July 1, 2021 - July 14, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
DES MOINES, IA
Past
November 11, 2019 - July 8, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
RIA
CRD#: 611
CLIVE, IA
Past
July 31, 2019 - July 8, 2021
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
CLIVE, IA
Past
January 8, 2018 - July 10, 2019
HORACE MANN INVESTORS, INC.
BD
CRD#: 11643
SPRINGFIELD, IL
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
Iowa(7/1/2025)
IAR
Iowa(7/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/6/2025
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)
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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#: 1137West Des Moines, IA 50266TRUST BUT VERIFY
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