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Erik William Gorenflo

Principal Securities, Inc.

Williamsville, NY

Des Moines, IA

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-06-26
  • NY RA
    APPROVED
    Since 2024-06-26

Branch Locations

Williamsville, 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
Custom Wealth Management Syracuse NY 02/2016 03/2021
Cambridge Investment Research, Inc. Fairfield IA 01/2018 03/2021
Dick's Sporting Goods Dewitt NY 10/2013 05/2017
Le Moyne College Syracuse NY 09/2013 05/2017
Cambridge Investment Research Advisors, Inc. Fairfield IA 07/2018 03/2021
Cadaret, Grant & Co., Inc. Buffalo NY 04/2021 05/2024
Custom Wealth Management, Llc. Syracuse NY 02/2016 03/2021
Lawley Retirement Advisors Buffalo NY 03/2021 05/2024
Lawley Retirement Advisors, Llc Buffalo NY 03/2021 05/2024
Royal Alliance Associates, Inc. Buffalo NY 05/2022 05/2024
Principal Securities Inc. Buffalo NY 06/2024 Present
Principal Life Insurance Company Buffalo NY 06/2024 Present
  • 02/2016 → 03/2021
    Custom Wealth Management
    Syracuse, NY
  • 01/2018 → 03/2021
    Cambridge Investment Research, Inc.
    Fairfield, IA
  • 10/2013 → 05/2017
    Dick's Sporting Goods
    Dewitt, NY
  • 09/2013 → 05/2017
    Le Moyne College
    Syracuse, NY
  • 07/2018 → 03/2021
    Cambridge Investment Research Advisors, Inc.
    Fairfield, IA
  • 04/2021 → 05/2024
    Cadaret, Grant & Co., Inc.
    Buffalo, NY
  • 02/2016 → 03/2021
    Custom Wealth Management, Llc.
    Syracuse, NY
  • 03/2021 → 05/2024
    Lawley Retirement Advisors
    Buffalo, NY
  • 03/2021 → 05/2024
    Lawley Retirement Advisors, Llc
    Buffalo, NY
  • 05/2022 → 05/2024
    Royal Alliance Associates, Inc.
    Buffalo, NY
  • 06/2024 → Present
    Principal Securities Inc.
    Buffalo, NY
  • 06/2024 → Present
    Principal Life Insurance Company
    Buffalo, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-06-28
  • S66 Uniform Combined State Law Examination
    2018-06-28
Other Names
  • Erik William Gorenflo
  • Erik Gorenflo

View on SEC IAPD

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