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Cassandra M. Cervantes
PRINCIPAL SECURITIES
West Des Moines, IA 50266
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CRD#: 6686366
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Professional summary
Cassandra Marie Cervantes, who also goes by Cassandra Marie Cervantes, Cassandra Cervantes, Cassie Cervantes, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in West Des Moines, Iowa.
Cassandra is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Cassandra has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Cassandra Marie Cervantes | Cassandra Cervantes | Cassie Cervantes
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.
**ROSHEK SKINNER FINANCIAL POSITION: Client Service Manager NATURE: Roshek Skinner Financial INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/23/2025 ADDRESS: 6701 Westown Pkwy STE 200, West Des Moines IA 50266, United States DESCRIPTION: Reporting and prepping for client meetings. Opening accounts and transfer of accounts. Scheduling meetings for account reviews and ongoing tasks for clients. Account applications for changes on profiles. **RENTAL PROPERTY POSITION: Landlord/owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2011 ADDRESS: 38211 N Rusty Lane, Santan Valley AZ 85140, United States DESCRIPTION: Single family home that is a rental property. **ROSHEK SKINNER FINANCIAL (DBA) POSITION: Client Relationship Manager NATURE: Other INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/23/2025 ADDRESS: 6701 Westown Pkwy STE 200, West Des Moines IA 50266, United States DESCRIPTION: DBA marketing name.
CRS (Client Relationship Summary) - RIA
Click below to view Cassandra Marie Cervantes's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cassandra Marie Cervantes'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
February 28, 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
February 19, 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
May 20, 2021 - November 27, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SALT LAKE CITY, UT
Past
April 30, 2021 - November 27, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Past
September 17, 2019 - January 30, 2020
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Phoenix, AZ
Past
December 6, 2018 - January 30, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Phoenix, AZ
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(2/19/2025)
IAR
Iowa(2/28/2025)
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.
