Arlene L. Reddington
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.
Arlene Lorraine Reddington, who also goes by Arlene L Reddington, Arlene Reddington, Arlene Reddington Titano, was a registered financial professional .
Arlene is a previously registered financial professional and started their career in finance in 1978. Arlene had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 30, 2021 - October 11, 2022
PRINCIPAL SECURITIES, INC.
March 18, 2014 - October 11, 2022
PRINCIPAL SECURITIES, INC.
May 27, 2011 - January 30, 2014
MSI FINANCIAL SERVICES, INC.
February 25, 2009 - January 20, 2010
METLIFE INVESTORS DISTRIBUTION COMPANY
March 5, 2008 - March 12, 2009
MSI FINANCIAL SERVICES, INC.
February 12, 2007 - March 27, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 11, 2001 - June 1, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
October 20, 1980 - October 24, 1994
EQUITABLE ADVISORS, LLC
March 22, 1978 - October 24, 1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
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: 3/13/1978
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.
