Chief Information Officer · Principal Securities, Inc.
Chad Thomas Claire
CRD 7219218 · Named on Form ADV at one SEC-registered adviser
At a glance
Principal Securities, Inc., an SEC-registered broker-dealer firm based in DES Moines, IA with $17.0 billion in regulatory assets, lists Chad Thomas Claire on its Form ADV as Chief Information Officer, a control person.
Firms and roles
- Principal Securities, Inc.Chief Information OfficerBroker-dealer firm · DES Moines, IA · $17B in regulatory assets
AtlasMembers
Chad’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- 1 firmLocked
- When each role began
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- Each firm’s assets and growth
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (11)
- Michael Francis MurrayPresident/chief Executive Officer/chair, Principal Securities, Inc.
- Amy Christine FriedrichDirector, Principal Securities, Inc.
- Douglas John RantsChief Information Security Officer, Principal Securities, Inc.
- Craig Alan SpadaforaSenior Vice President / Head of Advisory and Platform, Principal Securities, Inc.
- Daniel Simon VanwinklePSI AML Officer, Principal Securities, Inc.
6 more people named with Chad on the same filings, with titles and firms. Free in Atlas with a free account.
See all 11 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Chad’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.