MG
Michael L. Greene
PRINCIPAL SECURITIES
Dover, DE
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CRD#: 7085676
MG
Professional summary
Michael L Greene, who also goes by Michael Layton Greene, Michael Layton Greene Jr, Michael Greene, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Dover, Delaware.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Michael has worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Layton Greene | Michael Layton Greene Jr | Michael Greene
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: 10 SECURITIES TRADING HOURS: 10 START DATE: 08/01/2024 ADDRESS: 410 Delaware Ave., Wilmington DE 19801, United States DESCRIPTION: Will be writing outside insurance with various companies including: Life, health, DI, LTC, medical, dental, annuities, property and casualty and group products.
CRS (Client Relationship Summary) - RIA
Click below to view Michael L Greene's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael L Greene'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 31, 2024 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Dover, DE
Current
July 29, 2024 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
Dover, DE
Past
May 31, 2023 - November 29, 2023
FEFA FINANCIAL
RIA
CRD#: 324833
Dover, DE
Past
March 27, 2023 - November 30, 2023
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
St Louis, MO
Past
November 25, 2022 - February 15, 2023
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
DOVER, DE
Past
November 25, 2022 - February 15, 2023
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
DOVER, DE
Past
January 4, 2022 - November 28, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
GREENVILLE, DE
Past
October 9, 2021 - November 28, 2022
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
GREENVILLE, DE
Past
June 18, 2020 - January 7, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Dover, DE
Past
July 16, 2019 - September 4, 2019
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, DE
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
Delaware(7/31/2024)
IAR
Delaware(7/31/2024)
RR
Florida(9/20/2024)
RR
Maryland(10/10/2024)
RR
New Jersey(9/30/2024)
RR
Pennsylvania(2/25/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/8/2021
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/16/2019
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
