FG
Felipe F. Garcia
PRINCIPAL SECURITIES
PUEBLO, CO 81005
Some features on this profile are disabled
CRD#: 7392407
FG
Professional summary
Felipe Franco Garcia Jr, who also goes by Felipe Franco Garcia, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Pueblo, Colorado.
Felipe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Felipe has worked at 2 firms and has passed the Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Felipe Franco Garcia
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.
**FIXED INSURANCE POSITION: Agent NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 08/01/2024 ADDRESS: 1834 Vinewood Ln, Suite 204, Pueblo CO 81005, United States DESCRIPTION: Fixed insurance: life, disability, annuities, long term care, health, Medicare supplements, group benefits. **BROADWAY THEATRE LEAGUE OF PUEBLO POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/11/2022 ADDRESS: 400 W. Abriendo Ave, Pueblo CO 81004, United States DESCRIPTION: As treasurer I do not have check writing responsibilities, no independent access to mail or donations/ funds to the organization. President/ Vice President collect all donations/ funds. When any discussion pertaining to investment decisions is called to a vote, I recuse myself from the process. My role is to collect and log monthly statements and report balances to board members at meetings. **PUEBLO HISPANIC EDUCATION FOUNDATION POSITION: President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2023 ADDRESS: 301 N Main St, Suite 306B, Pueblo CO 81003, United States DESCRIPTION: As President my role is to conduct the monthly board meetings, review the agenda with the Executive committee, sign off on PTO requests and provide reviews for the Executive Director. I do not have check writing responsibilities, no independent access to mail or to any funds or donations for the organization. Executive Director, Vice President, and Treasurer handle all donations/ funds. When any discussion pertaining to the investment decisions is called to a vote, I recuse myself from the process. **PUEBLO LATINO CHAMBER OF COMMERCE POSITION: Ambassador Lead NATURE: Ambassador INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 05/02/2022 ADDRESS: 215 S. Victoria Ave, Pueblo CO 81003, United States DESCRIPTION: Ambassadors solicit and welcome new membership into the Latino Chamber as well as attend coffee breaks, after hours receptions and ribbon cuttings for members of the chamber. We also volunteer at events for check in, set up and tear down. As the Ambassador Lead my role is to run the monthly ambassador meeting and to act as a line of communication between the Latino Chamber staff and the ambassador team.
CRS (Client Relationship Summary) - RIA
Click below to view Felipe Franco Garcia Jr's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Felipe Franco Garcia Jr'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
November 4, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1834 Vinewood Ln Ste 204, Pueblo, CO 81005RIA
BD
CRD#: 1137
PUEBLO, CO
Current
July 23, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 1834 Vinewood Ln Ste 204, Pueblo, CO 81005RIA
BD
CRD#: 1137
PUEBLO, CO
Past
May 4, 2022 - July 8, 2024
NYLIFE SECURITIES LLC
BD
CRD#: 5167
PUEBLO, CO
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
Colorado(7/23/2024)
IAR
Colorado(11/4/2024)
RR
Nebraska(1/2/2025)
RR
New Hampshire(1/9/2025)
RR
New Mexico(7/23/2024)
RR
Ohio(7/23/2024)
RR
Texas(10/28/2025)
IAR
Texas(10/28/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/4/2022
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.
