EL
Elizabeth A. Ley
PRINCIPAL SECURITIES
CANONSBURG, PA 15317
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CRD#: 6735295
EL
Professional summary
Elizabeth Anne Ley is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Canonsburg, Pennsylvania.
Elizabeth is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Elizabeth has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
**OUTSIDE INSURANCE POSITION: Outside Insurance NATURE: Other INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 20 START DATE: 12/01/2024 ADDRESS: 311 S Central Ave, Canonsburg PA 15301, United States DESCRIPTION: Writing outside fixed and variable insurance with various companies including Life, DI, Annuities, LTC, Health, Medicare, Medicaid, Pennie and similar government funded products, Medical and Dental. This would encompass group and individual products. **ELIZABETH LEY CPA POSITION: CPA NATURE: CPA/Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 01/01/1990 ADDRESS: 311 S Central Ave, Canonsburg PA 15301, United States DESCRIPTION: Tax preparation and accounting services for individuals and businesses. **TURNKEY SERVICES LLC (DBA) POSITION: TurnKey Services LLC NATURE: Group/Health Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 25 SECURITIES TRADING HOURS: 20 START DATE: 04/19/1990 ADDRESS: 311 S Central Ave, Canonsburg PA 15301, United States DESCRIPTION: Owner.
CRS (Client Relationship Summary) - RIA
Click below to view Elizabeth Anne Ley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Elizabeth Anne Ley'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 25, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 311 S Central Ave Ste 100, Canonsburg, PA 15317RIA
BD
CRD#: 1137
CANONSBURG, PA
Current
November 26, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 311 S Central Ave Ste 100, Canonsburg, PA 15317RIA
BD
CRD#: 1137
CANONSBURG, PA
Past
June 27, 2024 - November 12, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Canonsburg, PA
Past
June 26, 2024 - November 12, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Canonsburg, PA
Past
January 24, 2022 - May 21, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PITTSBURGH, PA
Past
January 21, 2022 - May 21, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PITTSBURGH, PA
Past
April 6, 2017 - February 4, 2020
NYLIFE SECURITIES LLC
BD
CRD#: 5167
PITTSBURGH, PA
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
Florida(12/2/2024)
IAR
Pennsylvania(11/25/2024)
RR
Pennsylvania(11/26/2024)
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.
