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Christopher James Fernandez

Principal Securities, Inc.

Long Lake, MN

Des Moines, IA

Minnetonka, MN

CRD 4872617

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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
MN RA APPROVED 2014-01-16
  • MN RA
    APPROVED
    Since 2014-01-16

Branch Locations

Long Lake, MN • United States

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

11100 Wayzata Blvd Ste 405, Minnetonka, MN 55305 • 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 Securities Long Lake MN 10/2004 Present
Principal Life Insurance Long Lake MN 10/2004 Present
Uptown Brewing Company Minneapolis MN 06/2001 Present
  • 10/2004 → Present
    Principal Securities
    Long Lake, MN
  • 10/2004 → Present
    Principal Life Insurance
    Long Lake, MN
  • 06/2001 → Present
    Uptown Brewing Company
    Minneapolis, MN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-12-07
  • S63 Uniform Securities Agent State Law Examination
    2004-12-07
Other Names
  • Chris Fernandez

View on SEC IAPD

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