Role at Principal Securities
- Title on Schedule A
- Psi Aml Officer
- Control
- Daniel VanWinkle is a control person of Principal Securities.
- Ownership
- An individual ownership band is not available in the source record.
- Tenure
- Daniel VanWinkle has held the filed role since March 2021.
The firm
Form ADV filed 30 March 2026
Career on record
Daniel VanWinkle has been registered through Principal Securities since March 2021, and before that through Cambridge Investment Research Advisors, Inc. and Vsr Advisory Services.
- Passed Series 99TO · 2023
- Principal Securities, Inc.Current– present · 6 yearsOttumwa, IA · Adviser representative and broker · Firm CRD 1137
- Passed SIE · 2018
- Cambridge Investment Research Advisors, Inc.– · 11 yearsFairfield, IA · Adviser representative · Firm CRD 134139
- Vsr Advisory Services– · 1 yearOverland Park, KS · Adviser representative · Firm CRD 14503
- Cambridge Investment Research Advisors, Inc.– · 1 yearFairfield, IA · Adviser representative · Firm CRD 134139
- Passed Series 66 · 2007
- Passed Series 24 · 2005
- Passed Series 7 · 2004
Registrations and exams
Daniel VanWinkle has a current investment-adviser registration in Iowa and has passed 5 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Iowa | Investment adviser representative | Approved | 11 March 2021 |
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 66 | Uniform Combined State Law Examination | 30 July 2007 |
| Series 24 | General Securities Principal Examination | 8 June 2005 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 15 June 2004 |
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Daniel Simon VanWinkle
- CRD
- 4715191
- 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 Daniel VanWinkle work?
Daniel VanWinkle has been Psi Aml Officer of Principal Securities, Inc. since March 2021, and is a control person of the firm.
Is Daniel VanWinkle a financial advisor?
Yes. Daniel VanWinkle has a current investment-adviser registration in Iowa, through Principal Securities since March 2021, as of 18 October 2026.
How many years of experience does Daniel VanWinkle have?
Daniel VanWinkle has worked in the financial industry for 22 years as of 18 October 2026, counted from 21 July 2004, across 3 adviser firms.
What exams has Daniel VanWinkle passed?
Daniel VanWinkle has passed 5 licensing exams: the Series 7, Series 24, Series 66, SIE and Series 99TO. The earliest, the Series 7, was passed in June 2004.
Where did Daniel VanWinkle work before Principal Securities?
Before Principal Securities, Daniel VanWinkle was registered through Cambridge Investment Research Advisors, Inc., April 2010 to February 2021; Vsr Advisory Services, December 2008 to March 2010; Cambridge Investment Research Advisors, Inc., July 2007 to December 2008.
Leadership at Principal Securities
- Michael Francis MurrayPresident/Chief Executive Officer/Chair
- Craig Alan SpadaforaSenior Vice President /
- Dawn Marie RobertsChief Financial Officer
- Thomas John DroganChief Compliance Officer
- Vivek AgrawalDirector
- Chad Thomas ClaireChief Information Officer
- Amy Christine FriedrichDirector
- Cody Anthony LawlerHead of Supervision, Head of Operations
- Kenneth Allen McCullumDirector
- Douglas John RantsChief Information Security Officer
- Nathan Paul SchelhaasDirector