Chief Financial Officer · Principal Securities, Inc.
Dawn Marie Roberts
CRD 7929617 · 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 Dawn Marie Roberts on its Form ADV as Chief Financial Officer, a control person.
Firms and roles
- Principal Securities, Inc.Chief Financial OfficerBroker-dealer firm · DES Moines, IA · $17B in regulatory assets
AtlasMembers
Dawn’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.
- Chad Thomas ClaireChief Information Officer, Principal Securities, Inc.
6 more people named with Dawn 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 Dawn’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.