CB
Candace L. Brewington
PRINCIPAL SECURITIES
San Diego, CA 92122
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CRD#: 6670162
CB
Professional summary
Candace Lenae Brewington, who also goes by Candace L Brewington, Bush Lenae Candace, Jones Lenae Candace, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in San Diego, California.
Candace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Candace has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Candace L Brewington | Bush Lenae Candace | Jones Lenae Candace
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.
**INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 10/16/2024 ADDRESS: 4370 La Jolla Village, Suite 1025, San Diego CA 92122 DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **LANCER FINANCIAL COLLECTIVE POSITION: Industry Mentor NATURE: Mentorship INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 9/1/2018 ADDRESS: 8432 Magnolia Ave, Riverside CA 92504 DESCRIPTION: As part of California Baptist University, I participate in a student run Investment Group, under the umbrella of the Lancer Financial Collective, as an Industry Mentor. This club is sponsored by Dr. Adele Harrison, Professor and Program Director for the B.S. In Finance Major. Dr. Harrison reached out to me as an Alumni whom she taught in my MBA program knowing that I had entered the investment industry. My role as a mentor consists of: helping those undergraduate students looking to attain a finance degree. The investment group is their opportunity to work with industry mentors to learn to think as advisors and better understand the role/profession. A typical discussion during the quarterly meetings would contain students presenting their agreed upon investment plan. In this meeting they look to the industry mentors for affirmation of their findings, our role is to ask questions and challenge them to use all the tools and research available to them prior to taking action. This group began with a donation from a member of the Board of Trustees in spring 2016. Since then, with donations and returns, the portfolio balance has grown to just over $200,000. The funds are held at Fidelity. The University representatives that can trade on the account are Mark Howe, CFO, Shelly Murley, AVP of Accounting, and Adele Harrison. At this point, the students collect the mentor feedback and determine amongst themselves how they desire to proceed. There are no secrets shared, no check writing privileges, and those conversations had with mentees are never discussed outside the group with peers or members. I understand as a financial professional, my fiduciary responsibility to my clients, and at no time will I ever violate this charge. **HABITAT FOR HUMANITY POSITION: Board of Director/Chaplain NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 3 START DATE: 1/1/2021 ADDRESS: 41615 Winchester Rd. Suite 214, Temecula CA 92091 DESCRIPTION: We as a Board govern the high-level function of the affiliate and those who we extend homeownership through. We volunteer time, fundraise, and meet to discuss and approve the organization's budget and how we structure homeownership for our families. **THE VIEW CHURCH POSITION: Director of Assimilation NATURE: Pastoral Role INVESTMENT RELATED: No NUMBER OF HOURS: 36 SECURITIES TRADING HOURS: 16 START DATE: 11/6/2024 ADDRESS: 26701 McCall Blvd, Menifee CA 92586 DESCRIPTION: Building infrastructure for our assimilation process. Leading a team of people who work directly with volunteers who interact with/engage our visitors. I'm identifying gaps and resolving them in the overall process. **C&E CONSULTANTS, LLC POSITION: Co-owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 03/05/2025 ADDRESS: 8310 Nelson Way, Escondido CA 92026 DESCRIPTION: The LLC provides coaching to business owners who may need it. Coaching offered through this LLC will not have any securities or insurance pieces to it. Will be working with business owners related to their strategic partnerships, personal and business visions with goal management in mind. Will also problem solve any business owner roadblocks that might arise.
CRS (Client Relationship Summary) - RIA
Click below to view Candace Lenae Brewington's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Candace Lenae Brewington'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 21, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4370 La Jolla Village Dr Ste 1025, San Diego, CA 92122RIA
BD
CRD#: 1137
San Diego, CA
Current
October 21, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 4370 La Jolla Village Dr Ste 1025, San Diego, CA 92122RIA
BD
CRD#: 1137
San Diego, CA
Past
December 23, 2016 - July 17, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Glendale, CA
Past
December 22, 2016 - July 17, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Glendale, CA
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
California(10/21/2024)
IAR
California(10/22/2024)
RR
Florida(2/18/2025)
IAR
Texas(10/21/2024)
RR
Texas(11/18/2024)
RR
Virginia(4/3/2025)
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)
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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.
