Richard H Addy

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 10/2016
  Chi Solutions
  Columbia, SC
• 11/2016 → 10/2017
  Td Ameritrade
  Columbia, SC
• 10/2017 → 11/2019
  Athene Annuity And Life Company
  West Des Moines, IA
• 09/2021 → 05/2022
  Cuna Brokerage Services, Inc.
  Waverly, IA
• 09/2021 → 05/2022
  Cuna Mutual Group
  Waverly, IA
• 01/2020 → 08/2020
  Wealthvest
  Bozeman, MT
• 08/2020 → 08/2021
  Unemployed
  Irmo, SC
• 05/2022 → 06/2023
  Lpl Financial Llc
  Lexington, SC
• 06/2023 → 09/2023
  Td Bank N.A.
  Columbia, SC
• 06/2023 → 09/2023
  Td Private Client Wealth Llc
  Columbia, SC
• 10/2023 → Present
  Principal Life Insurance
  Irmo, SC
• 10/2023 → Present
  Principal Securities
  Des Moines, IA

Previous Registrations

• 2023-06-21 → 2023-10-05
  Td Private Client Wealth Llc
  Columbia, SC
• 2022-05-18 → 2023-07-05
  Lpl Financial Llc
  Lexington, SC
• 2021-11-15 → 2022-05-18
  Cuna Brokerage Services, Inc.
  Lexington, SC
  Waverly, IA
• 2017-03-07 → 2017-10-11
  Td Ameritrade, Inc.
  Columbia, SC
• 2017-03-07 → 2017-10-11
  Td Ameritrade Investment Management, Llc
  Columbia, SC
• 2011-11-07 → 2013-12-19
  Advisors Asset Management, Inc.
  Columbia, SC
  Charlotte, NC

Exams

• S66 Uniform Combined State Law Examination
  2017-03-06
• S65 Uniform Investment Adviser Law Examination
  2011-11-04
• S63 Uniform Securities Agent State Law Examination
  2001-09-07

Other Names

• Richard Addy
• Rick Addy
• Richard Harrison Addy
• Richard Addy