RF
Ryan Flore
PRINCIPAL SECURITIES
Leroy, NY 14482
Some features on this profile are disabled
CRD#: 6883155
RF
Professional summary
Ryan Flore, who also goes by Ryan Edward Flore, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Leroy, New York.
Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Ryan has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ryan Edward Flore
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.
**ART SERVICES INC POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 11/20/2020 ADDRESS: 7196 Rapids Road, Lockport NY 14094, United States DESCRIPTION: I am a board member of ASI. I attend semi-monthly meetings year-round which last from 60-120 minutes in length and then join executive session. We are responsible for guiding and influencing the strategic direction of the organization in an advisory role and provide oversight to their not for profit operation. I am not responsible for the assigning of grants, the writing of grants, or the approval of who receives grants. **INSURANCE POSITION: Outside Insurance Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 06/14/2022 ADDRESS: 100 Corporate Parkway, Suite 118, Amherst NY 14226, United States DESCRIPTION: Sale of Life, DI, Annuities, LTC, Health, Dental, Medicare & Medicaid Insurance through various carriers. **FLORE TO CEILING PROPERTIES, LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2023 ADDRESS: 7196 Rapids Road, Lockport NY 14094, United States DESCRIPTION: Owner of a rental property income LLC. We will own multi-family and single-family properties and maintain them while collecting rental income from tenants. **RJSJ NORTHEAST, LLC DBA CAREFREE BOAT CLUB OF BUFFALO AND D/B/A 716 BOATS POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2020 ADDRESS: 512 River Road, North Tonawanda NY 14120, United States DESCRIPTION: Additional website: rjsjnortheast.com & 716boats.com & carefreeboats.com. My title is co-owner or owner. I am a 25% stakeholder in a members-only boat club in which members pay a monthly subscription in order to utilize our fleet of new boats ranging from 18-28 feet in length. Boats will not be older than 3 years in fleet service. We have a small retail shop operation as well that sells ice, water, pop, shirts, sunscreen, and hats (typical and basic waterfront aligned goods). The customers are voluntary and long term (five year contracts) and vary, but are local to the eight counties of western New York. 6-15-2023 Update** Additionally, due to the volume of vessels we buy & sell, we have created an additional d/b/a titled "716 Boats" which will serve as our marine dealer name for the sale & consignment of boats & watercraft. I am in charge of our QuickBooks account and training members in basic water safety. **INSURANCE / American Elm Financial (DBA) POSITION: American Elm Financial NATURE: DI/A&H Insurance, Fee Based Financial Planning, Financial Strategies/Needs Analysis, Group/Health Insurance, Life Insurance/Annuities, Mutual Funds/Securities/VA/VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2025 ADDRESS: 100 Corporate Pkwy, Ste 118, Amherst NY 14226, United States DESCRIPTION: DBA ESTABLISHED FOR THE PURPOSES OF BRANDING AND SOLICITING, AS A TEAM, THE SAME PRODUCTS AND SERVICES CURRENTLY OFFERED UNDER OUR PRINCIPAL SECURITIES REGISTRATION. WE WILL UTILIZE PPN, PSI, AND PRINCIPAL.
CRS (Client Relationship Summary) - RIA
Click below to view Ryan Flore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ryan Flore'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
June 1, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 124 W Main St, Leroy, NY 14482Office #2: 26 Main St, Attica, NY 14011Office #3: 327 N Main St, Medina, NY 14103Office #4: 211 Main St, East Aurora, NY 14052Office #5: 100 Corporate Pkwy Ste 118, Amherst, NY 14226RIA
BD
CRD#: 1137
Leroy, NY
Current
May 31, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 124 W Main St, Leroy, NY 14482Office #2: 26 Main St, Attica, NY 14011Office #3: 327 N Main St, Medina, NY 14103Office #4: 211 Main St, East Aurora, NY 14052Office #5: 100 Corporate Pkwy Ste 118, Amherst, NY 14226RIA
BD
CRD#: 1137
Leroy, NY
Past
July 10, 2018 - June 8, 2022
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WILLIAMSVILLE, NY
Past
December 9, 2017 - June 8, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WILLIAMSVILLE, NY
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(1/3/2025)
RR
Illinois(9/12/2022)
RR
Maryland(5/31/2022)
RR
Michigan(10/6/2022)
RR
New York(5/31/2022)
IAR
New York(6/1/2022)
RR
South Carolina(9/22/2022)
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
