James R. Waldorf
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
James Robert Waldorf was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1975. James had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2018 - October 16, 2018
PRINCIPAL SECURITIES, INC.
October 28, 2009 - May 1, 2018
PRINCIPAL SECURITIES, INC.
October 23, 2009 - October 16, 2018
PRINCIPAL SECURITIES, INC.
January 5, 2009 - September 22, 2009
CULLUM & BURKS SECURITIES, INC.
January 5, 2009 - September 22, 2009
CULLUM & BURKS SECURITIES, INC.
June 30, 2006 - January 5, 2009
U.S. FINANCIAL ADVISORS
June 29, 2006 - January 5, 2009
U.S. WEALTH ADVISORS, LLC.
November 5, 2004 - June 27, 2006
CREATIVE FINANCIAL DESIGNS, INC.
November 5, 2004 - June 27, 2006
CFD INVESTMENTS, INC.
May 20, 2004 - November 3, 2004
OSAIC FS, INC.
December 10, 2003 - September 11, 2006
ASH SECURITIES WHOLESALING, INC.
March 20, 2003 - November 3, 2004
OSAIC FS, INC.
July 16, 2002 - October 22, 2003
ASH SECURITIES WHOLESALING, INC.
March 6, 2002 - August 20, 2002
SII INVESTMENTS, INC.
January 3, 1990 - March 28, 2002
OSAIC FA, INC.
May 11, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
May 11, 1987 - March 28, 2002
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
May 21, 1986 - November 9, 1989
GILLESPIE & HOLLAND, INC.
July 29, 1982 - June 2, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
December 28, 1981 - April 12, 1984
LINCOLN NATIONAL PENSION INSURANCE COMPANY
February 9, 1978 - March 1, 1979
ADVANTAGE CAPITAL CORPORATION
January 8, 1975 - January 30, 1978
OSAIC FA, INC.
January 8, 1975 - April 12, 1984
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 1/4/1975
Registered Representative ExaminationCurrent Firm
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
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.
