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Craig Spadafora

Senior Vice President / at Principal Securities

Investment adviser and broker registrationsSEC record checked 17 October 2026

26
Years in the industry
7
Years at the firm
4
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Craig Spadafora is Senior Vice President / of Principal Securities, Inc., a Des Moines investment adviser managing $17B. Craig Spadafora has been registered through Principal Securities since 18 July 2019, has 26 years in the industry across 4 firms and has passed 6 licensing exams.

Role at Principal Securities

Title on Schedule A
Senior Vice President /
Control
Craig Spadafora is a control person of Principal Securities.
Ownership
An individual ownership band is not available in the source record.
Tenure
Craig Spadafora has held the filed role since December 2019.

The firm

Principal Securities, Inc.
Des Moines, IA

Form ADV filed 30 March 2026

$17B AUM51,941 clients1,464 advisers26 offices

Career on record

Craig Spadafora has been registered through Principal Securities since July 2019, and before that through Royal Alliance Associates, Inc., Signator Investors, Inc. and Global Investment Advisors, LLC.

Firms and exams, newest first
  1. Principal Securities, Inc.Current
    – present · 7 years
    , · Adviser representative · Firm CRD 1137
  2. Principal Securities, Inc.Current
    – present · 7 years
    Malden, MA · Adviser representative and broker · Firm CRD 1137
  3. Royal Alliance Associates, Inc.
    – · 1 year
    Boston, MA · Adviser representative · Firm CRD 23131
  4. Passed SIE · 2018
  5. Signator Investors, Inc.
    – · 6 years
    Boston, MA · Adviser representative · Firm CRD 468
  6. Passed Series 66 and Series 24 · 2012
  7. Global Investment Advisors, LLC
    – · 1 year
    Malden, MA · Adviser representative · Firm CRD 121442
  8. Passed Series 7 · 2000
  9. Passed Series 6 and Series 63 · 1999

Registrations and exams

Craig Spadafora has a current investment-adviser registration in Iowa and has passed 6 qualifying exams.

Iowa19 July 2019
Scope
Investment adviser representative
Status
Approved

Examinations

Series 6630 May 2012
Name
Uniform Combined State Law Examination
Series 6316 September 1999
Name
Uniform Securities Agent State Law Examination
Series 2430 July 2012
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 719 July 2000
Name
General Securities Representative Examination
Series 627 April 1999
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Craig Alan Spadafora
CRD
3184320
Firm
Principal Securities, Inc.
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Craig Spadafora work?

Craig Spadafora has been Senior Vice President / of Principal Securities, Inc. since December 2019, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 30 March 2026

Is Craig Spadafora a financial advisor?

Yes. Craig Spadafora has a current investment-adviser registration in Iowa, through Principal Securities since July 2019, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Craig Spadafora have?

Craig Spadafora has worked in the financial industry for 26 years as of 17 October 2026, counted from 28 March 2000, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Craig Spadafora passed?

Craig Spadafora has passed 6 licensing exams: the Series 6, Series 63, Series 7, Series 66, Series 24 and SIE. The earliest, the Series 6, was passed in April 1999.

Source: IAPD individual record, checked 17 October 2026

Where did Craig Spadafora work before Principal Securities?

Before Principal Securities, Craig Spadafora was registered through Royal Alliance Associates, Inc., November 2018 to May 2019; Signator Investors, Inc., April 2013 to November 2018; Global Investment Advisors, LLC, May 2012 to December 2012.

Source: IAPD individual record, checked 17 October 2026

Leadership at Principal Securities

Sources

  1. IAPD individual record, CRD 3184320. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Principal Securities, Inc., filed 30 March 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Craig Spadafora or Principal Securities, Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.