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MM

Michael A. Maddock

PRINCIPAL ADVISED SERVICES
JACKSONVILLE, FL
Some features on this profile are disabled
CRD#: 7255790
MM
Michael Alan MaddockPRINCIPAL ADVISED SERVICES

Professional summary

Michael Alan Maddock, who also goes by Michael Maddock, Michael A Maddock, Michael Alan Maddock, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Jacksonville, Florida and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Michael has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.

Aliases

Michael Maddock | Michael A Maddock | Michael Alan Maddock

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Maddock's CRS (Customer Relationship Summary).
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®
None

Experience

Current

June 15, 2026 - Present

PRINCIPAL ADVISED SERVICES

RIA
CRD#: 297324
JACKSONVILLE, FL
Current

May 22, 2026 - Present

PRINCIPAL SECURITIES, INC.

Office #1: 711 High St, Des Moines, IA 50392
RIA
BD
CRD#: 1137
DES MOINES, IA
Past

February 22, 2022 - March 25, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Jacksonville, FL
Past

February 21, 2022 - March 25, 2026

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Jacksonville, FL
Past

December 17, 2020 - September 14, 2021

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA
CRD#: 288590
JACKSONVILLE, FL
Past

July 24, 2020 - September 13, 2021

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
JACKSONVILLE, FL

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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA
Registered Investment Advisory firm - (12/14/2018 Approved)

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
Alabama
(5/22/2026)
RR
Alaska
(5/22/2026)
RR
Arizona
(5/22/2026)
RR
Arkansas
(5/22/2026)
RR
California
(5/22/2026)
RR
Colorado
(5/22/2026)
RR
Connecticut
(5/22/2026)
RR
Delaware
(5/22/2026)
RR
District of Columbia
(5/22/2026)
RR
Florida
(5/22/2026)
IAR
Florida
(6/15/2026)
RR
Georgia
(5/22/2026)
RR
Hawaii
(5/22/2026)
RR
Idaho
(5/22/2026)
RR
Illinois
(5/22/2026)
RR
Indiana
(5/22/2026)
RR
Iowa
(5/22/2026)
IAR
Iowa
(6/18/2026)
RR
Kansas
(5/22/2026)
RR
Kentucky
(5/22/2026)
RR
Louisiana
(5/22/2026)
RR
Maine
(5/22/2026)
RR
Maryland
(5/22/2026)
RR
Massachusetts
(5/22/2026)
RR
Michigan
(5/22/2026)
RR
Minnesota
(5/22/2026)
RR
Mississippi
(5/22/2026)
RR
Missouri
(5/22/2026)
RR
Montana
(5/22/2026)
RR
Nebraska
(5/22/2026)
RR
Nevada
(5/22/2026)
RR
New Hampshire
(5/22/2026)
RR
New Jersey
(5/22/2026)
RR
New Mexico
(5/22/2026)
RR
New York
(5/22/2026)
RR
North Carolina
(5/22/2026)
RR
North Dakota
(5/22/2026)
RR
Ohio
(5/24/2026)
RR
Oklahoma
(5/22/2026)
RR
Oregon
(5/22/2026)
RR
Pennsylvania
(5/22/2026)
RR
Rhode Island
(5/22/2026)
RR
South Carolina
(5/22/2026)
RR
South Dakota
(5/22/2026)
RR
Tennessee
(5/22/2026)
RR
Texas
(5/22/2026)
RR
Utah
(5/22/2026)
RR
Vermont
(5/22/2026)
RR
Virginia
(5/22/2026)
RR
Washington
(5/22/2026)
RR
West Virginia
(5/22/2026)
RR
Wisconsin
(5/22/2026)
RR
Wyoming
(5/22/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/15/2020
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/24/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/17/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC

CRD#: 297324 / SEC#: 801-114432

RIA
Registered Investment Advisory firm - (12/14/2018 Approved)
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Contact information

Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

PRINCIPAL ADVISED SERVICES FORM ADV 2A WRAP FEE BROCHURE (1/2/2026)
PRINCIPAL ADVISED SERVICES TARGET MY RETIREMENT ADV PART 2A BROCHURE (1/2/2026)
PAS ADV 2A ADVICE BROCHURE (1/2/2026)

Regulatory assets under management

Total Number of Accounts16,940
AUM (Assets Under Management)$ 887,316,440

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
09/26/2025
Cover Page
Report
10/28/2024
Cover Page
Report
11/20/2023
Cover Page
Report
09/22/2023
Cover Page
Report

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.

Company Information

PRINCIPAL ADVISED SERVICES

CRD#: 297324Jacksonville, FL

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