NR
Noah K. Ruffin
PRINCIPAL ADVISED SERVICES
DES MOINES, IA 50392
Some features on this profile are disabled
CRD#: 7484654
NR
Professional summary
Noah Kamal Ruffin, who also goes by Noah Ruffin, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Des Moines, Iowa and PRINCIPAL SECURITIES, INC. located in Des Moines, Iowa.
Noah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Noah has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Noah Ruffin
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.
**NOSTALGIA VINTAGE POSITION: Owner NATURE: Vintage Clothing Business INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2019 ADDRESS: 3480 Lakeside Dr NE, Atlanta GA 30326, United States DESCRIPTION: I own and operate vintage clothing business. This includes responsibilities of buying, selling, and shipping products. The products would be vintage T- shirts. The Customer would be anyone interested in buying a vintage T-shirt from us. **PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/30/2024 ADDRESS: 711 High St, Des Moines IA 50392, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINICPAL BANK POSITION: AVP- Advice, Education and Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/06/2024 ADDRESS: 711 High St, Des Moines IA 50392, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.
CRS (Client Relationship Summary) - RIA
Click below to view Noah Kamal Ruffin'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 16, 2024 - Present
PRINCIPAL ADVISED SERVICES
Office #1: 711 High St, Des Moines, IA 50392RIA
CRD#: 297324
DES MOINES, IA
Current
June 21, 2024 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 711 High St, Des Moines, IA 50392RIA
BD
CRD#: 1137
DES MOINES, IA
Past
March 28, 2023 - December 13, 2023
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
Atlanta, GA
Past
October 25, 2022 - December 13, 2023
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 15, 2022 - June 14, 2022
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
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(6/21/2024)
RR
Alaska(6/21/2024)
RR
Arizona(6/21/2024)
RR
Arkansas(6/21/2024)
RR
California(6/21/2024)
RR
Colorado(6/21/2024)
RR
Connecticut(6/21/2024)
RR
Delaware(6/21/2024)
RR
District of Columbia(6/21/2024)
RR
Florida(6/21/2024)
RR
Georgia(6/21/2024)
IAR
Georgia(8/20/2024)
RR
Hawaii(6/21/2024)
RR
Idaho(6/21/2024)
RR
Illinois(6/21/2024)
RR
Indiana(6/21/2024)
RR
Iowa(6/21/2024)
IAR
Iowa(8/16/2024)
RR
Kansas(6/21/2024)
RR
Kentucky(6/21/2024)
RR
Louisiana(6/21/2024)
RR
Maine(6/21/2024)
RR
Maryland(6/21/2024)
RR
Massachusetts(6/21/2024)
RR
Michigan(6/21/2024)
RR
Minnesota(6/21/2024)
RR
Mississippi(6/21/2024)
RR
Missouri(6/21/2024)
RR
Montana(6/21/2024)
RR
Nebraska(6/21/2024)
RR
Nevada(6/21/2024)
RR
New Hampshire(6/21/2024)
RR
New Jersey(6/21/2024)
RR
New Mexico(6/21/2024)
RR
New York(6/21/2024)
RR
North Carolina(6/21/2024)
RR
North Dakota(6/21/2024)
RR
Ohio(6/22/2024)
RR
Oklahoma(6/21/2024)
RR
Oregon(6/21/2024)
RR
Pennsylvania(6/21/2024)
RR
Rhode Island(6/21/2024)
RR
South Carolina(6/21/2024)
RR
South Dakota(6/21/2024)
RR
Tennessee(6/21/2024)
RR
Texas(6/21/2024)
RR
Utah(6/21/2024)
RR
Vermont(6/21/2024)
RR
Virginia(6/21/2024)
RR
Washington(6/21/2024)
RR
West Virginia(6/21/2024)
RR
Wisconsin(6/21/2024)
RR
Wyoming(6/21/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/15/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 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.
Company Information
PRINCIPAL ADVISED SERVICES
CRD#: 297324Des Moines, IA 50392TRUST BUT VERIFY
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