Richard James Havenridge
Investment adviser representative at Principal Securities, Inc.
40 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
40 years in the industry.
- Principal Securities, Inc.Apr 2024 to now
- Principal Life Insurance CompanyApr 2024 to now
- Ameriprise Financial Services, LLCMar 2020 to Apr 2024
- Ameriprise Financial Advisors Inc.Nov 2017 to Mar 2020
- Sii InvestmentsOct 2013 to Nov 2017
- US Postal ServicesOct 1986 to Nov 2022
Exams passed
- Series 66 · Uniform Combined State Law2012
State registrations
Registered as an investment adviser representative in 1 state (NE).
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
- 6015174
- Firm CRD
- 1137