EG
Erik W. Gorenflo
PRINCIPAL SECURITIES
Williamsville, NY
Some features on this profile are disabled
CRD#: 6608505
EG
Professional summary
Erik William Gorenflo, who also goes by Erik Gorenflo, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Williamsville, New York.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Erik has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erik Gorenflo
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) Lawley, LLC, RSS since 4/2021, 361 Delaware Avenue, Buffalo, New York, 160 hours, 120 during trading, investment related. 2) Lawley Retirement Advisor, Retirement Account Executive since 3/22/21, 361 Delaware Ave, Buffalo, NY, assist with day to day management of qualified retirement plans, 160 hours per month, 120 during trading, investment related. 3) LAWLEY RETIREMENT ADVISORS LLC POSITION: Retirement Account Executive NATURE: LLC. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 03/22/2021 ADDRESS: 361 Delaware Ave, Buffalo NY 14202, United States DESCRIPTION: Assist Plan Sponsors with day to day activities in operating their Employer sponsored retirement plans.
CRS (Client Relationship Summary) - RIA
Click below to view Erik William Gorenflo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Erik William Gorenflo'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
June 26, 2024 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Williamsville, NY
Current
June 24, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
May 6, 2022 - May 31, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
BUFFALO, NY
Past
May 6, 2022 - May 31, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
BUFFALO, NY
Past
July 22, 2021 - May 29, 2024
LAWLEY RETIREMENT ADVISORS
RIA
CRD#: 282786
BUFFALO, NY
Past
April 30, 2021 - May 10, 2022
CADARET, GRANT & CO., INC.
RIA
CRD#: 10641
BUFFALO, NY
Past
April 29, 2021 - May 10, 2022
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
BUFFALO, NY
Past
July 10, 2018 - April 1, 2021
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Syracuse, NY
Past
January 31, 2018 - April 1, 2021
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Syracuse, NY
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
New York(6/24/2024)
IAR
New York(6/26/2024)
RR
Pennsylvania(7/30/2024)
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)
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.
