MH
Michael W. Hadley
PRINCIPAL SECURITIES
Attica, NY 14011
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CRD#: 6901601
MH
Professional summary
Michael William Hadley, who also goes by Michael W Hadley, Michael Hadley, Michael William Hadley, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Attica, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Michael has worked at 4 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael W Hadley | Michael Hadley | Michael William Hadley
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.
**HADLEY CARPENTRY, LLC POSITION: Bookkeeper NATURE: Part Time Job INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 06/24/2024 ADDRESS: 2211 Blakeley Rd, East Aurora NY 14052, United States DESCRIPTION: I am a bookkeeper for my Dad's family run business as a Contractor. He is a handyman and carpenter specializing in home remodels and roofing for families and local businesses around Buffalo, NY. I enter expenses, process Sales receipts, reconcile company bank accounts, estimate self-employment taxes, and run payroll for company employees all through QuickBooks software. **INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 09/01/2024 ADDRESS: 100 Corporate Parkway, Suite 118, Amherst NY 14226, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers. **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/AnnuitiesMutual Funds/Securities/VA/VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 160 START DATE: 02/01/2025 ADDRESS: 100 Corporate Pkwy, Suite 118, Amherst NY 14226, United States DESCRIPTION: DBA ESTABLISHED FOR THE PURPOSES OF BRANDING AND SOLICITING, AS A TEAM, THE SAME PRODUCTS ANDSERVICES CURRENTLY OFFERED UNDER OUR PRINCIPAL SECURITIES REGISTRATION. WE WILL UTILIZE PPN, PSI, AND PRINCIPAL.
CRS (Client Relationship Summary) - RIA
Click below to view Michael William Hadley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael William Hadley'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
August 22, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 26 Main St, Attica, NY 14011Office #2: 211 Main St, East Aurora, NY 14052Office #3: 100 Corporate Pkwy Ste 118, Amherst, NY 14226RIA
BD
CRD#: 1137
Attica, NY
Current
August 21, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 26 Main St, Attica, NY 14011Office #2: 211 Main St, East Aurora, NY 14052Office #3: 100 Corporate Pkwy Ste 118, Amherst, NY 14226RIA
BD
CRD#: 1137
Attica, NY
Past
January 17, 2020 - March 14, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Orchard Park, NY
Past
January 17, 2020 - March 14, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ORCHARD PARK, NY
Past
April 7, 2018 - November 4, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WILLIAMSVILLE, NY
Past
February 16, 2018 - November 4, 2019
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(7/1/2025)
RR
Illinois(2/7/2025)
RR
Maryland(2/7/2025)
RR
Michigan(4/8/2025)
RR
New York(8/22/2024)
IAR
New York(8/22/2024)
RR
South Carolina(7/7/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/21/2024
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.
