AM
Angad S. Mahal
PRINCIPAL SECURITIES
TUKWILA, WA 98188
Some features on this profile are disabled
CRD#: 7223620
AM
Professional summary
Angad Singh Mahal, who also goes by Angad Singh Mahal, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Tukwila, Washington.
Angad is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Angad has worked at 2 firms and has passed the Series 65, Series 63, Series 52TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Angad Singh Mahal
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.
**EAST HILL INVESTORS LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2023 ADDRESS: 22433 133rd AVE SE, Kent WA 98042, United States DESCRIPTION: East Hill Investors LLC is a holding company that houses my loan brokerage which has the DBA "Onyx Capital". **P&C INSURANCE POSITION: Owner NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2024 ADDRESS: 22433 133rd AVE SE, Kent WA 98042, United States DESCRIPTION: Sunstone Insurance Advisors sells property and casualty insurance policies to commercial and individual customers. **FINANCIAL SERVICES BUSINESS VIA PRINCIPAL POSITION: Owner NATURE: DI, Group Benefits, Fixed Insurance, fee-based planning and products, financial strategies, annuities, mutual funds, VL, commission-based products INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 5 START DATE: 02/01/2025 ADDRESS: 22433 133rd AVE SE, Kent WA 98042, United States DESCRIPTION: I'm working as a financial professional as a contracted broker with Principal Financial. I plan to offer DI, Group Benefits, Fixed Insurance, fee-based planning and products, financial strategies, annuities, mutual funds, VL, and commission-based products. My client based will be focused on business owners, may also include individuals that are non-business owners. **AGILE ACCOUNTING AND BUSINESS CONSULTING LLC POSITION: Holding Company NATURE: Holding Company for Agile Accounting INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 06/01/2023 ADDRESS: 22433 133rd AVE SE, Kent WA 98042, United States DESCRIPTION: This is just the holding company for Agile Accounting. Publicly this company will be shown as "Agile Accounting". **AGILE ACCOUNTING POSITION: Owner NATURE: CPA/Accounting Services/Tax Preparation INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 22433 133rd AVE SE, Kent WA 98042, United States DESCRIPTION: Basic accounting, bookkeeping, and tax preparation.
CRS (Client Relationship Summary) - RIA
Click below to view Angad Singh Mahal's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Angad Singh Mahal'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
February 4, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 16400 Southcenter Pkwy Ste 205c, Tukwila, WA 98188RIA
BD
CRD#: 1137
TUKWILA, WA
Current
January 1, 2025 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 16400 Southcenter Pkwy Ste 205c, Tukwila, WA 98188RIA
BD
CRD#: 1137
TUKWILA, WA
Past
June 13, 2022 - February 15, 2023
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
SEATTLE, WA
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(2/10/2025)
RR
Washington(2/4/2025)
IAR
Washington(2/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 2/10/2025
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 12/28/2024
General Securities 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.
