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Nabeel Zafar Shums

Principal Advised Services

Charlotte, NC

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Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2025-03-20
NC RA APPROVED 2025-03-12
  • IA RA
    APPROVED
    Since 2025-03-20
  • NC RA
    APPROVED
    Since 2025-03-12

Branch Locations

Charlotte, NC • 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
Wells Fargo Clearing Services Charlotte NC 02/2018 08/2018
Wells Fargo Clearing Services Charlotte NC 08/2018 02/2021
Autobell Car Wash Charlotte NC 04/2017 09/2017
University Of North Carolina Charlotte NC 08/2013 12/2017
Principal Life Insurance Charlotte NC 02/2021 Present
Principal Securities Inc Charlotte NC 03/2021 Present
Principal Advised Services Charlotte NC 02/2025 Present
  • 02/2018 → 08/2018
    Wells Fargo Clearing Services
    Charlotte, NC
  • 08/2018 → 02/2021
    Wells Fargo Clearing Services
    Charlotte, NC
  • 04/2017 → 09/2017
    Autobell Car Wash
    Charlotte, NC
  • 08/2013 → 12/2017
    University Of North Carolina
    Charlotte, NC
  • 02/2021 → Present
    Principal Life Insurance
    Charlotte, NC
  • 03/2021 → Present
    Principal Securities Inc
    Charlotte, NC
  • 02/2025 → Present
    Principal Advised Services
    Charlotte, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-21
S63 Uniform Securities Agent State Law Examination 2018-09-06
  • S66 Uniform Combined State Law Examination
    2023-11-21
  • S63 Uniform Securities Agent State Law Examination
    2018-09-06
Other Names
  • Nabeel Shums

View on SEC IAPD

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