Best Investors Account Sign in

Michael Steven Borrelli

Principal Securities, Inc.

Wantagh, NY

Des Moines, IA

CRD 5376448

Claim This Profile
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:

Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-11-17
NY RA APPROVED 2021-06-30
NJ RA APPROVED 2014-06-13
  • TX RA
    APPROVED_RES
    Since 2022-11-17
  • NY RA
    APPROVED
    Since 2021-06-30
  • NJ RA
    APPROVED
    Since 2014-06-13

Branch Locations

Wantagh, NY • United States

711 High St, Des Moines, IA 50392 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Insurance Company Wantagh NY 11/2010 Present
Principal Securities Wantagh NY 11/2010 Present
  • 11/2010 → Present
    Principal Life Insurance Company
    Wantagh, NY
  • 11/2010 → Present
    Principal Securities
    Wantagh, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-10-24
  • S66 Uniform Combined State Law Examination
    2008-10-24
Other Names
  • Michael Borrelli
  • Michael S Borrelli

View on SEC IAPD

More in Wantagh, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor