WK
Westin J. Kaser
PRINCIPAL SECURITIES
HENDERSONVILLE, TN
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CRD#: 7328488
WK
Professional summary
Westin James Kaser, who also goes by Westin Kaser, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Hendersonville, Tennessee.
Westin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Westin has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Westin Kaser
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.
1)05/18/2022 - Ascend Retirement & Investment Services-Investment Related - At Reported Business Location(s)- DBA for LPL Business (entity for LPL business)- Registered Admin 2)05/18/2022 - UBEREATS- Not Investment Related - San Francisco CA 94103- Outside/W-2 Employment- Driver- Start Date- 11/17/2021 3)05/18/2022 - Ascend Federal Credit Union - Investment Related - At Reported Business Location(s)- Financial Institution Duty- Sales Assistant - Start Date - 06/2020 4)05/18/2022 - Ascend Federal Credit Union - Investment Related - At Reported Business Location(s)- Notary- Notary- Start Date - 6/27/2019
CRS (Client Relationship Summary) - RIA
Click below to view Westin James Kaser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Westin James Kaser'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
August 14, 2025 - Present
PRINCIPAL SECURITIES, INC.
RIA
BD
CRD#: 1137
HENDERSONVILLE, TN
Current
July 18, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
October 31, 2022 - May 2, 2025
PRINCIPAL ADVISED SERVICES
RIA
CRD#: 297324
Nashville, TN
Past
July 21, 2022 - November 1, 2022
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
NASHVILLE, TN
Past
May 18, 2022 - July 11, 2022
LPL FINANCIAL LLC
RIA
CRD#: 6413
Mt. Juliet, TN
Past
May 18, 2022 - July 11, 2022
LPL FINANCIAL LLC
BD
CRD#: 6413
Mt. Juliet, TN
Past
May 11, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
RIA
CRD#: 13941
Mt. Juliet, TN
Past
March 29, 2021 - May 18, 2022
CUNA BROKERAGE SERVICES, INC.
BD
CRD#: 13941
Mt. Juliet, TN
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
Alabama(7/18/2022)
RR
Alaska(4/22/2025)
RR
Arizona(7/18/2022)
RR
Arkansas(7/18/2022)
RR
California(7/18/2022)
RR
Colorado(7/18/2022)
RR
Connecticut(7/18/2022)
RR
Delaware(4/22/2025)
RR
District of Columbia(7/18/2022)
RR
Florida(7/18/2022)
RR
Georgia(7/18/2022)
RR
Hawaii(7/18/2022)
RR
Idaho(4/22/2025)
RR
Illinois(7/18/2022)
RR
Indiana(7/18/2022)
RR
Iowa(7/18/2022)
RR
Kansas(7/18/2022)
RR
Kentucky(7/18/2022)
RR
Louisiana(7/18/2022)
RR
Maine(4/22/2025)
RR
Maryland(7/18/2022)
RR
Massachusetts(7/18/2022)
RR
Michigan(7/18/2022)
RR
Minnesota(7/18/2022)
RR
Mississippi(7/18/2022)
RR
Missouri(7/18/2022)
RR
Montana(4/22/2025)
RR
Nebraska(7/18/2022)
RR
Nevada(4/22/2025)
RR
New Hampshire(4/22/2025)
RR
New Jersey(7/18/2022)
RR
New Mexico(4/22/2025)
RR
New York(7/18/2022)
RR
North Carolina(7/18/2022)
RR
North Dakota(4/22/2025)
RR
Ohio(7/18/2022)
RR
Oklahoma(7/18/2022)
RR
Oregon(7/18/2022)
RR
Pennsylvania(7/18/2022)
RR
Rhode Island(4/22/2025)
RR
South Carolina(7/18/2022)
RR
South Dakota(4/22/2025)
RR
Tennessee(7/18/2022)
IAR
Tennessee(8/14/2025)
RR
Texas(7/18/2022)
IAR
Texas(8/14/2025)
RR
Utah(7/18/2022)
RR
Vermont(4/22/2025)
RR
Virginia(7/18/2022)
RR
Washington(7/18/2022)
RR
West Virginia(4/22/2025)
RR
Wisconsin(7/18/2022)
RR
Wyoming(4/22/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/29/2021
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.
