Unclaimed Profile

Craig Alan Spadafora

PRINCIPAL SECURITIES, INC.·DES MOINES, Iowa

SIE, Series 6, Series 7, Series 24, Series 63, Series 66Clean record14 years registeredPRINCIPAL SECURITIES, INC.

711 HIGH STREET, DES MOINES, IA 50392CRD# 3184320Firm CRD# 1137

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Craig Alan Spadafora · DES MOINES, IA

Registration

CRD #3184320 · PRINCIPAL SECURITIES, INC. · 14 years registered

Brand Profile

Not yet started

Career History

PRINCIPAL SECURITIES, INC.

Jul 2019 – present

PRINCIPAL SECURITIES, INC.

Jul 2019 – present

ROYAL ALLIANCE ASSOCIATES, INC.

Nov 2018 – May 2019

BOSTON, MA

SIGNATOR INVESTORS, INC.

Apr 2013 – Nov 2018

BOSTON, MA

GLOBAL INVESTMENT ADVISORS, LLC

May 2012 – Dec 2012

MALDEN, MA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 24

Series 63

Series 66

Registration record

First registered · May 31, 2012

Years registered · 14

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PRINCIPAL SECURITIES, INC.

CRD 1137 · SEC 801-54949

AUM

$12.1B

Regulatory assets under management

Employees

1,349

54,844 client accounts

Services offered by PRINCIPAL SECURITIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at PRINCIPAL SECURITIES, INC. →

Introduction

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Frequently Asked Questions

What services does Craig Alan Spadafora offer?

Craig Alan Spadafora specializes in Financial Planning, Investment Management. Contact their office in DES MOINES, Iowa for a consultation.

What are Craig Alan Spadafora's credentials?

Craig Alan Spadafora is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Craig Alan Spadafora located?

Craig Alan Spadafora is based in DES MOINES, Iowa, working with PRINCIPAL SECURITIES, INC.. Their office serves clients in the DES MOINES metropolitan area and surrounding communities.

How does Craig Alan Spadafora charge for services?

Craig Alan Spadafora's firm is compensated through percentage of aum, hourly charges, subscription fees, other: seminar fees, solicitors fees, subscription consulting fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PRINCIPAL SECURITIES, INC.?

PRINCIPAL SECURITIES, INC. has approximately 1349 employees and manages $12.1B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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