William P. Schwarzkopf
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.
William P Schwarzkopf, who also goes by William Paul Schwarzkopf, William Schwarzkopf, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1, Series 51, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 17, 2019 - January 6, 2021
PRINCIPAL SECURITIES, INC.
July 11, 2019 - January 6, 2021
PRINCIPAL SECURITIES, INC.
April 24, 2015 - July 12, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 23, 2015 - July 12, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 6, 2014 - May 5, 2015
CAPITAL MARKETS IQ, LLC
July 31, 2013 - June 10, 2014
PURSHE KAPLAN STERLING INVESTMENTS
May 22, 2013 - February 26, 2014
BENCHMARK INVESTMENT ADVISORS LLC
May 15, 2013 - July 10, 2013
GENTRY SECURITIES LLC
February 6, 2012 - May 24, 2013
HARVEST INVESTMENT SERVICES, LLC
January 9, 2012 - June 14, 2013
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 18, 2005 - January 9, 2012
LPL FINANCIAL LLC
May 17, 2005 - January 9, 2012
LPL FINANCIAL LLC
January 14, 2005 - January 26, 2005
LPL FINANCIAL LLC
April 22, 2004 - April 28, 2006
PEB FINANCIAL GROUP, INC.
April 6, 1978 - July 1, 2003
CITISTREET EQUITIES LLC
March 8, 1977 - April 1, 1978
FIRST EASTERN EQUITY CORP.
May 3, 1976 - March 22, 1977
GUARDIAN INVESTOR SERVICES LLC
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: 4/26/1976
Registered Representative ExaminationSeries 40
Date: 4/26/1979
Registered Principal 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.
