EK
Eric J. Krumm
PRINCIPAL SECURITIES
Bradenton, FL
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CRD#: 6751809
EK
Professional summary
Eric Joseph Krumm, who also goes by Eric Krumm, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Bradenton, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Eric has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Krumm
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 SALES POSITION: Financial Professional NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 11/01/2023 ADDRESS: 5343 Latches Ln, Bradenton FL 34211, United States DESCRIPTION: Soliciting and selling non-proprietary insurance including Life, Annuities, DI, LTC and other ancillary insurance through various carriers via the PPN **OLIVER REID INVESTMENTS LLC POSITION: Home Renovation / Resale NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 5 START DATE: 04/15/2021 ADDRESS: 5343 Latches Ln, Bradenton FL 34211, United States DESCRIPTION: Calculate ideal purchase and sale price of property. Estimate renovation and holding costs as well as profit. Conduct most of renovation work on properties. **ASE ADVISORY LLC POSITION: Owner/Partner NATURE: Partnership INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2024 ADDRESS: 750 Dale Ave, St Louis MO 63117, United States DESCRIPTION: LLC established for recordkeeping, accounting and partnership purposes. Will not be used for marketing or branding purposes. **ASE ADVISORY LLC (DBA) POSITION: ASE Advisory LLC NATURE: Business Consulting, Disability insurance, Fee-based planning, Life/Annuity, Group Health INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/21/2025 ADDRESS: 5343 Latches Lane, Bradenton FL 34211, United States DESCRIPTION: The DBA is making Jason and I's team official. We want to brand ourselves as ASE Advisory including websites, signatures, letter head etc.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Joseph Krumm's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Joseph Krumm'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 2, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Bradenton, FL
Current
November 1, 2023 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Bradenton, FL
Past
November 16, 2021 - September 19, 2023
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Chesterfield, MO
Past
August 30, 2021 - September 19, 2023
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Chesterfield, MO
Past
August 15, 2017 - August 25, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
Chesterfield, MO
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
Arizona(11/1/2023)
RR
California(11/1/2023)
RR
Colorado(11/1/2023)
RR
Florida(11/1/2023)
IAR
Florida(11/2/2023)
RR
Georgia(11/1/2023)
RR
Illinois(11/1/2023)
RR
Massachusetts(11/1/2023)
RR
Missouri(11/1/2023)
RR
New Hampshire(11/1/2023)
RR
New Jersey(6/2/2025)
RR
New York(11/1/2023)
RR
North Carolina(11/1/2023)
RR
Ohio(11/1/2023)
RR
Oklahoma(11/1/2023)
RR
Texas(11/1/2023)
IAR
Texas(11/8/2023)
RR
Virginia(11/1/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2022
General Securities Representative ExaminationGeneral 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.
