Craig Alan Spadafora

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

• 01/2003 → 07/2019
  City Of Malden
  Malden, MA
• 04/2013 → 11/2018
  Jhfn Sii
  Boston, MA
• 11/2018 → 07/2019
  Royal Alliance Associates, Inc.
  Jersey City, NJ
• 07/2019 → Present
  Principal Life Insurance Company
  Des Moines, IA
• 07/2019 → Present
  Principal Securities Inc
  Des Moines, IA

Previous Registrations

• 2018-11-02 → 2019-05-20
  Osaic Wealth, Inc.
  Scottsdale, AZ
  Boston, MA
• 2013-04-15 → 2018-11-02
  Signator Investors, Inc.
  Boston, MA
  Boston, MA
• 2012-05-31 → 2012-12-31
  Global Investment Advisors, Llc
  Malden, MA
  Miami Beach, FL

Other Businesses

**WINTER AVE REALTY TRUST POSITION: Winter Ave Realty Trust NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/14/2022 ADDRESS: 20 WINTER AVE, MALDEN MA 02148, United States DESCRIPTION: It's equal ownership in a single-family investment property. I am one of the tow owners, my role was primarily to provide capital. The business dealings are control[ed] by Anthony Spadafora (cousin) in terms of rent collections, and maintenance. I do have check-writing capabilities. **JAC HOLDING POSITION: Co-owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 1 Malden Street, Malden MA 02148, United States DESCRIPTION: It's equal ownership in a single-family investment property. I am one of the three owners, my role was primarily to provide [capital?] The business dealings are control[ed] by Jon Spadafora (cousin) in terms of rent collection, and maintenance., I do not have check-writing capabilities. **MALDEN RETIREMENT BOARD POSITION: Board member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/31/2026 ADDRESS: 215 Pleasant Street, Malden MA 02148-6836, United States DESCRIPTION: The Mayor has asked me to service as his appointment on the Malden Retirement Board, a separate entity outside of the city charter. The board having recently lost a member, the Mayor has asked me to serve as his appointment for the remaining term. Given that he is not seeking reelection, I anticipate my tenure will last no more than 10 months.

Exams

• S66 Uniform Combined State Law Examination
  2012-05-30
• S63 Uniform Securities Agent State Law Examination
  1999-09-16

Other Names

• Craig Akin Spadafora