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Richard Joseph Suermann

Principal Securities, Inc.

Wilmington, DE

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2023-03-20
DE RA APPROVED 2002-10-22
  • TX RA
    APPROVED_RES
    Since 2023-03-20
  • DE RA
    APPROVED
    Since 2002-10-22

Branch Locations

1013 Centre Rd Ste 303, Wilmington, DE 19805 • 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 Inc Wilmington DE 10/2002 Present
Principal Life Insurance Company Wilmington DE 10/2002 Present
Financial Advisors Of Delaware Valley Wilmington DE 09/2008 Present
  • 10/2002 → Present
    Principal Securities Inc
    Wilmington, DE
  • 10/2002 → Present
    Principal Life Insurance Company
    Wilmington, DE
  • 09/2008 → Present
    Financial Advisors Of Delaware Valley
    Wilmington, DE
Previous Registrations
  • 1996-11-20 → 2002-11-12
    1717 Capital Management Company
    Newark, DE
Other Businesses

**OUTSIDE INSURANCE, FIXED LIFE & ANNUITIES, DI, LTC,GRP,MED 2/23/15. ***Tax Prep; Not Investment Related; ; Tax Prep; Prepare tax returns for family members and friends at no charge, use Turbo Tax.; Start Date: 04/01/2019; 20 hrs per year; 0 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-24
S63 Uniform Securities Agent State Law Examination 1994-11-23
  • S65 Uniform Investment Adviser Law Examination
    1998-06-24
  • S63 Uniform Securities Agent State Law Examination
    1994-11-23

View on SEC IAPD

Other Firms

OSAIC WEALTH, INC.
STATE FARM INVESTMENT MANAGEMENT CORP.
AMERIPRISE FINANCIAL SERVICES, LLC
KINGSVIEW WEALTH MANAGEMENT, LLC
WELLS FARGO CLEARING SERVICES, LLC
PNC WEALTH MANAGEMENT LLC
EDWARD JONES
RAYMOND JAMES & ASSOCIATES, INC.

Other Investors

LORI ANN RUTKOWSKI
ROBERT GEORGE ZIEGLER
GERARD PHILLIPPE VIARS
STEPHEN CRAIG MCDERMOTT
BRENT CHRISTOPHER FUCHS
Michelle Keiko Mullinix
ABBY LEIGH PUBUSKY
Sophie Schroyer

Other Offices

OSAIC WEALTH, INC. · WILMINGTON, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
AMERIPRISE FINANCIAL SERVICES, LLC · Wilmington, DE
KINGSVIEW WEALTH MANAGEMENT, LLC · Wilmington, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Wilmington, DE
WELLS FARGO CLEARING SERVICES, LLC · WILMINGTON, DE
PNC WEALTH MANAGEMENT LLC · WILMINGTON, DE
EDWARD JONES · WILMINGTON, DE

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