Thomas James Kleffman
Investment adviser representative at Principal Securities, Inc.
11 yearsExperience
2 statesRegistered 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
11 years in the industry.
- Principal Securities, Inc.Jun 2021 to now
- Principal Life Insurance CompanyJun 2021 to now
- UnemployedFeb 2021 to Jun 2021
- Mark Tanner ConstructionApr 2019 to Feb 2021
- TtusdJun 2015 to Apr 2019
Exams passed
- Series 66 · Uniform Combined State Law2021
State registrations
Registered as an investment adviser representative in 2 states (CA, TX).
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
- 7399941
- Firm CRD
- 1137