PSI AML Officer · Principal Securities, Inc.
Daniel Simon Vanwinkle
CRD 4715191 · Named on Form ADV at 2 SEC-registered advisers
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 Daniel Simon Vanwinkle on its Form ADV as PSI AML Officer, a control person. The SEC filings also name Daniel at 1 other registered adviser.
Firms and roles
- Principal Securities, Inc.PSI AML OfficerBroker-dealer firm · DES Moines, IA · $17B in regulatory assets
- Principal Advised ServicesAnti-Money Laundering OfficerWealth manager · DES Moines, IA · $1.4B in regulatory assets
AtlasMembers
Daniel’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 each firm
- 2 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (29)
- 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.
- Chad Thomas ClaireChief Information Officer, Principal Securities, Inc.
24 more people named with Daniel on the same filings, with titles and firms. Free in Atlas with a free account.
See all 29 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Daniel’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.