Craig Timothy Charlton

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2015 → 01/2020
  Pruco Securities, Llc
  Chalfont, PA
• 01/2020 → Present
  Principal Life Insurance Company
  Wayne, PA
• 01/2020 → Present
  Principal Securities Inc
  Wayne, PA
• 03/2021 → Present
  Union Financial Inc
  Wayne, PA

Previous Registrations

• 2015-11-06 → 2020-01-23
  Pruco Securities, Llc.
  Warrington, PA
• 2013-01-16 → 2015-08-19
  Waddell & Reed
  Wyomissing, PA
  Wilmington, DE
  Charleroi, PA

Other Businesses

**Fixed Insurance; Investment Related; Wayne, PA; Agent; Fixed Life, Annuities, DI, FIA, Group Life, Group, DI, Benefits; Start Date: 02/01/2020; 10 hrs per month; 40 during trading hours. **WINDY HILL HOMEOWNERS ASSOCIATION POSITION: Treasurer NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2025 ADDRESS: 527 Windy Hill Road, West Chester PA 19382, United States DESCRIPTION: My title is Treasurer and I am a member of the Board. My responsibilities are to oversee the annual financial report prepared by a public accountant, prepare the annual budget and present a report of financial condition at the monthly Board meetings. I do not handle any funds and there are no investments. The position is unpaid. It is a small HOA with 15 members and a budget of $70,000.

Exams

• S66 Uniform Combined State Law Examination
  2012-11-30
• S63 Uniform Securities Agent State Law Examination
  2006-11-01

Other Names

• Craig Timothy Charlton
• Craig Charlton