Richard A. Debartolo

PRINCIPAL SECURITIES

DES MOINES, IA 50392

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CRD#: 6751211

Professional summary

Richard Austin Debartolo, who also goes by Rick Debartolo, Richard Debartolo, is a registered financial professional currently at PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2019. Richard has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Rick Debartolo | Richard Debartolo

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. 05/28/2024 - Ash Brokerage - Non-Variable Insurance - Individual Wealth Advisor - Investment Related - At Reported Business Location(s) - Start Date 05/21/2024 - 20 Hours Per Month/ During Trading 2. 07/08/2024 - The Insurance Partners - Non-Variable Insurance - Advisor - Investment Related - At Reported Business Location(s) - Start Date 07/03/2024 - 8 Hours Per Month/ During Trading 3. 12/02/2024 - GLOBAL RETIREMENT PARTNERS - Registered Investment Advisor Hybrid - IAR - Investment Related - At Reported Business Location(s) - Start Date 05/23/2022 - 160 hours per month/ 6 hours during trading - I provide investment advisory services through Global Retirement Partners, an independent investment advisor firm. I started this business activity in 5/2022. I expect to spend approximately 160 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. 4. 12/02/2024 - ASSURED PARTNERS FINANCIAL ADVISORS - Registered Investment Advisor DBA - IAR - Investment Related - At Reported Business Location(s) - Start Date 05/23/2022 - 160 hours per month/ 6 hours during trading 5. 12/02/2024 - Assured Partners Financial Advisors - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/03/2024 - 160 hours per month/ 120 hours during trading 6. 03/27/2026-Rohrer and Associates-Individual Wealth Advisor-Non-Variable Insurance-Inv related-At West Des Moines, IA-Start date 03/26/2026-20hrs/mth-20hrs/mth during trading

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Austin Debartolo's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 7, 2026 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392

RIA

CRD#: 1137

DES MOINES, IA

Past

July 27, 2023 - May 4, 2026

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

West Des Moines, IA

Past

July 25, 2022 - May 13, 2026

LPL FINANCIAL LLC

CRD#: 6413

WEST DES MOINES, IA

Past

June 21, 2019 - May 24, 2022

PRINCIPAL SECURITIES, INC.

CRD#: 1137

West Des Moines, IA

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)

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.

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

Alabama
(8/7/2026)

Alaska
(8/7/2026)

Arizona
(8/7/2026)

Arkansas
(8/7/2026)

California
(8/7/2026)

Colorado
(8/7/2026)

Connecticut
(8/7/2026)

Delaware
(8/7/2026)

District of Columbia
(8/7/2026)

Florida
(8/7/2026)

Georgia
(8/7/2026)

Hawaii
(8/7/2026)

Idaho
(8/7/2026)

Illinois
(8/7/2026)

Indiana
(8/7/2026)

Iowa
(8/7/2026)

Kansas
(8/7/2026)

Kentucky
(8/7/2026)

Louisiana
(8/7/2026)

Maine
(8/7/2026)

Maryland
(8/7/2026)

Massachusetts
(8/7/2026)

Michigan
(8/7/2026)

Minnesota
(8/7/2026)

Mississippi
(8/7/2026)

Missouri
(8/7/2026)

Montana
(8/7/2026)

Nebraska
(8/7/2026)

Nevada
(8/7/2026)

New Hampshire
(8/7/2026)

New Jersey
(8/7/2026)

New Mexico
(8/7/2026)

New York
(8/7/2026)

North Carolina
(8/7/2026)

North Dakota
(8/7/2026)

Ohio
(8/10/2026)

Oklahoma
(8/7/2026)

Oregon
(8/7/2026)

Pennsylvania
(8/7/2026)

Rhode Island
(8/7/2026)

South Carolina
(8/7/2026)

South Dakota
(8/7/2026)

Tennessee
(8/7/2026)

Texas
(8/7/2026)

Utah
(8/7/2026)

Vermont
(8/7/2026)

Virginia
(8/7/2026)

Washington
(8/7/2026)

West Virginia
(8/7/2026)

Wisconsin
(8/7/2026)

Wyoming
(8/7/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/24/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/20/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/11/2019

Securities Industry Essentials Examination

SRO Registrations

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)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRINCIPAL DIRECT ADVISORY ACCOUNT FIRM BROCHURE (1/2/2026)

RETIREMENT PLAN CONSULTING (1/2/2026)

PRINCIPAL FINANCIAL PLANNING & CONSULTING SERVICES FIRM BROCHURE (1/2/2026)

PRINCIPAL MANAGED ACCOUNT SOLUTIONS WRAP FEE PROGRAM BROCHURE (1/2/2026)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
09/22/2023	Cover Page	Report

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.

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Firm Stability Insights

Richard A. Debartolo

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Austin Debartolo's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL RETIREMENT PARTNERS LLC

LPL FINANCIAL LLC

PRINCIPAL SECURITIES, INC.

Primary Firm SEC Registration

PRINCIPAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 6/24/2023

Series 7TO

Date: 6/20/2019

SIE

Date: 3/11/2019

FINRA

Current Firm

PRINCIPAL SECURITIES, INC.

Contact information

SEC notice filing (51 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRINCIPAL SECURITIES, INC.

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