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Principal Securities, Inc. CRD 1137
$17.0B regulatory AUM 1,717 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-10-30 |
Branch Locations
Canandaigua, NY • United States
100 Corporate Pkwy Ste 118, Amherst, NY 14226 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Fairport | NY | 05/2012 | 09/2016 |
| Key Investment Services Llc | Syracuse | NY | 09/2016 | 12/2021 |
| Lpl Financial Llc | Canandaigua | NY | 06/2022 | 10/2023 |
| Unemployed | Canandaigua | NY | 01/2022 | 05/2022 |
| Principal Life Insurance Company | Amherst | NY | 10/2023 | Present |
| Principal Securities Inc | Amherst | NY | 10/2023 | Present |
**DELIBERATE LUCK VINEYARD POSITION: Officer / Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 07/30/2023 ADDRESS: 5252 County Road 16, Canandaigua NY 14424, United States DESCRIPTION: Co-President and Owner of micro wine vineyard. Planted 300 vines. No income at this point. We plan to hand press the grapes and make wine in September of 2026. Most likely not enough production to sell. **INSURANCE POSITION: Outside Sales NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/20/2023 ADDRESS: 100 Corporate Parkway, Suite 118, Amherst NY 14226, United States DESCRIPTION: Sale of Life, DI, Annuities, Health, LTC, Dental, Medicare & Medical Insurance through various carriers RICK ROXIN FOR TOWN JUSTICE POSITION: Rick Roxin for Town Justice NATURE: Elected Official INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 02/25/2025 ADDRESS: 5252 COUNTY ROAD 16, CANANDAIGUA NY 14424-8953, United States DESCRIPTION: My Husband, Rick Roxin, is running for Town Justice in our town of Canandaigua, NY. I will have NO involvement in the fund raising or money handling - no check writing privileges at all. 01/01/2026 Rick Roxin was sworn in as Town Justice. No changes to this OBA, still NO involvement by Amy in fund raising, or money handling, no check writing privileges. Amy has no clients or book of business.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-10-17 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-15 |
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