Richard H Addy
Investment adviser representative at Principal Securities, Inc.
7 yearsExperience
1 stateRegistered in
$17BFirm assets
28 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
7 years in the industry.
- Principal Securities, Inc.Oct 2023 to now
- Principal Life InsuranceOct 2023 to now
- TD Bank N.A.Jun 2023 to Sep 2023
- TD Private Client Wealth LLCJun 2023 to Sep 2023
- LPL Financial LLCMay 2022 to Jun 2023
- Cuna Brokerage Services, Inc.Sep 2021 to May 2022
- Cuna Mutual GroupSep 2021 to May 2022
- UnemployedAug 2020 to Aug 2021
- WealthvestJan 2020 to Aug 2020
- Athene Annuity and Life CompanyOct 2017 to Nov 2019
- TD AmeritradeNov 2016 to Oct 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2001
- Series 65 · Uniform Investment Adviser Law2011
- Series 66 · Uniform Combined State Law2017
State registrations
Registered as an investment adviser representative in 1 state (SC).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 4422305
- Firm CRD
- 1137