ED
Eric M. Dietzenbach
PRINCIPAL SECURITIES
CALMAR, IA 52132
Some features on this profile are disabled
CRD#: 6965929
ED
Professional summary
Eric M Dietzenbach, who also goes by Eric Michael Dietzenbach, Eric Dietzenbach, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Calmar, Iowa.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Eric has worked at 3 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Michael Dietzenbach | Eric Dietzenbach
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.
**DIETZENBACH FINANCIAL (DBA) POSITION: Financial Advisor NATURE: Business Consulting*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: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/01/2025 ADDRESS: 101 N Maryville Street, Calmar IA 52132, United States DESCRIPTION: DBA is Dietzenbach Financial with Principal Rep and Financial Advisor Matthew Dietzenbach. All products and services of this DBA will be offered through Principal Financial Network and its affiliates including PSI & PPN. **AE HOLDINGS POSITION: Member NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2018 ADDRESS: 201 S. Main, Saint Lucas IA 52166, United States DESCRIPTION: Real Estate Holding Entity that owns Rental Property. **EAGLE HEIGHTS ROOFING POSITION: Member / Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 106 SW Autumn Dr, Saint Lucas IA 52166, United States DESCRIPTION: Eagle Heights Roofing is a business owned with my wife's family. I don't have any day-to-day role. My primary role is business strategy. **FIXED INSURANCE POSITION: Financial Advisor NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/01/2025 ADDRESS: 101 N Maryville Street, Calmar IA 52132, United States DESCRIPTION: Sales and service of outside fixed insurance, including life, annuities, DI, LTC, health and group insurance. **ORAKLE CAPITAL, LLC POSITION: Member NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 201 S. Main, St. Lucas IA 52166, United States DESCRIPTION: Two partners and I have formed an LLC for the purpose of investing in local businesses. **LTD CAPITAL, LLC POSITION: Member/Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 201 S. Main, PO Box 266, Saint Lucas IA 52166, United States DESCRIPTION: LLC owned by my wife & I. I have full management responsibility and control. It's in the process of closing a business and consists only of a checking account and some accounts receivable.
CRS (Client Relationship Summary) - RIA
Click below to view Eric M Dietzenbach's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric M Dietzenbach'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
March 24, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 101 N Maryville St, Calmar, IA 52132RIA
BD
CRD#: 1137
CALMAR, IA
Current
March 21, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 101 N Maryville St, Calmar, IA 52132RIA
BD
CRD#: 1137
CALMAR, IA
Past
March 21, 2019 - August 8, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
CALMAR, IA
Past
March 18, 2019 - August 8, 2022
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
CALMAR, IA
Past
February 5, 2019 - March 6, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
LAWLER, IA
Past
January 18, 2019 - March 6, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
LAWLER, IA
Past
June 14, 2018 - August 30, 2018
FBL MARKETING SERVICES, LLC
BD
CRD#: 5309
DECORAH, 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)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
Illinois(5/12/2025)
RR
Iowa(3/21/2025)
IAR
Iowa(3/24/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/21/2025
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.
