MS
Michael V. Spadafore
PRINCIPAL SECURITIES
Pittsburgh, PA
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CRD#: 6958165
MS
Professional summary
Michael Vincent Spadafore is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Pittsburgh, Pennsylvania.
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 2 firms and has passed the Series 66, Series 63, Series 7TO, 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.
**INSURANCE POSITION: Outside Insurance NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 03/03/2023 ADDRESS: 2100 Georgetown Drive, Sewickley PA 15143, United States DESCRIPTION: Writing fixed life insurance, LTC, DI, fixed and variable annuities, health and group products **BUTIA BASEBALL POSITION: Baseball Lessons NATURE: baseball lessons INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/11/2023 ADDRESS: 11356 Perry Hwy, Wexford PA 15090, United States DESCRIPTION: I want to give baseball lessons local to me throughout the year so I will be providing those to kids ages 8 though 17. This will not take place during trading hours and will not interfere with client facing time. **PINE RICHLAND HIGH SCHOOL POSITION: Assistant baseball coach NATURE: Coaching baseball INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2023 ADDRESS: 700 Warrendale Rd, Gibsonia PA 15044, United States DESCRIPTION: I stepped down to be a volunteer assistant but will get a stipend from the boosters to be coaching baseball so I won't need to be there as much as last year. **RENTAL INCOME POSITION: Greensburg House NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/05/2024 ADDRESS: 515 Saint Andrews Drive, Greensburg PA 15601, United States DESCRIPTION: I am using a property management company to manage my house. They are tasked with finding tenants. I am doing 0 work as the owner of the house. BNI POSITION: Mentor coordinator - bni NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2025 ADDRESS: 1000 nevillewood dr, Presto PA 15142, United States DESCRIPTION: I will be responsible for helping new members of our chapter understand how we do things in our bni group and how to have the best bni experience possible.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Vincent Spadafore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Vincent Spadafore'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
July 13, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 2100 Georgetown Dr Ste 100, Sewickley, PA 15143RIA
BD
CRD#: 1137
Pittsburgh, PA
Current
July 12, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 2100 Georgetown Dr Ste 100, Sewickley, PA 15143RIA
BD
CRD#: 1137
Sewickley, PA
Past
August 30, 2018 - July 12, 2022
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
California(7/5/2024)
RR
Delaware(6/9/2025)
RR
Florida(8/27/2022)
RR
Illinois(7/5/2024)
RR
Maryland(8/27/2022)
RR
New Jersey(10/13/2022)
RR
North Carolina(7/5/2024)
RR
Ohio(8/29/2022)
RR
Pennsylvania(7/12/2022)
IAR
Pennsylvania(7/13/2022)
RR
South Carolina(7/5/2024)
RR
Tennessee(7/5/2024)
RR
Virginia(2/1/2023)
RR
West Virginia(10/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/28/2022
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.
