Career
Dawn Roberts has been Chief Financial Officer of Principal Securities since December 2024. Dawn Roberts is a control person of the firm and directly owns under 5% of it.
Principal Securities, Inc. is a Des Moines, IA firm with $17B under management, 51,941 clients and 1,464 advisers across 359 offices, as of its March 2026 filing.
No adviser firm registrations are on Dawn Roberts’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 27 | Financial and Operations Principal Examination | 9 December 2024 |
- Name
- Financial and Operations Principal Examination
Individual record
- Full name
- Dawn Marie Roberts
- CRD
- 7929617
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Dawn Roberts work?
Dawn Roberts has been Chief Financial Officer of Principal Securities, Inc. since December 2024, and is a control person of the firm.
Does Dawn Roberts have a current investment-adviser registration?
Dawn Roberts has a current broker registration and no current investment-adviser registration.
What exams has Dawn Roberts passed?
Dawn Roberts passed the Series 27 in December 2024.
Leadership at Principal Securities
- Michael MurrayPresident/Chief Executive Officer/Chair
- Craig SpadaforaSenior Vice President
- Thomas DroganChief Compliance Officer
- Vivek AgrawalDirector
- Chad Thomas ClaireChief Information Officer
- Amy Christine FriedrichDirector
- Cody LawlerHead of Supervision, Head of Operations
- Kenneth Allen MccullumDirector
- Douglas RantsChief Information Security Officer
- Nathan Paul SchelhaasDirector
- Daniel VanWinklePsi Aml Officer