Best Investors Account Sign in

Stuart Roy Van Ess

Principal Advised Services

Bloomington, MN

CRD 6103413

Claim This Profile
Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

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

Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2024-02-08
MN RA APPROVED 2024-02-05
  • IA RA
    APPROVED
    Since 2024-02-08
  • MN RA
    APPROVED
    Since 2024-02-05

Branch Locations

Bloomington, MN • 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
Transamerica Retirement Solutions St. Paul MN 12/2013 11/2023
Transamerica Investors Securities Corporation St. Paul MN 01/2014 11/2023
Principal Life Insurance Company Des Moines IA 11/2023 Present
Principal Securities, Inc Des Moines IA 11/2023 Present
Principal Advised Services Bloomington MN 11/2023 Present
  • 12/2013 → 11/2023
    Transamerica Retirement Solutions
    St. Paul, MN
  • 01/2014 → 11/2023
    Transamerica Investors Securities Corporation
    St. Paul, MN
  • 11/2023 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 11/2023 → Present
    Principal Securities, Inc
    Des Moines, IA
  • 11/2023 → Present
    Principal Advised Services
    Bloomington, MN
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-16
S63 Uniform Securities Agent State Law Examination 2013-06-06
  • S65 Uniform Investment Adviser Law Examination
    2016-11-16
  • S63 Uniform Securities Agent State Law Examination
    2013-06-06
Other Names
  • Stuart Roy Vaness
  • Stuart Roy Van Ess
  • Stuart Van Ess

View on SEC IAPD

More in Bloomington, MN

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor