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Detailed Report
GEORGE JULIUS FOLLSTAD
CRD#: 210741
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 MINOCQUA, WI
Registration History
19751980198519901995200020052010201520202025IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2016 - Present (8 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)1986 - Present (38 years)BCATHOLIC KNIGHTS INVESTMENT CO... (CRD# 5218)1971 - 1979 (8 years)
License(s)

State Registrations

B
Alabama 5/17/2021
B
Illinois 6/18/2002
B
Arizona 2/4/2020
B
Utah 8/4/2006
B
Colorado 6/18/2002
B
Wisconsin 8/20/1986
B
Florida 12/5/1991
IA
Wisconsin 1/18/2024
B
Georgia 5/18/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRINCIPAL SECURITIES, INC. (CRD#:1137)
MINOCQUA, WI
Registered with this firm since 8/15/2016
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
MINOCQUA, WI
Registered with this firm since 8/13/1986
Previous Registration(s)
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B
 01/27/1971 - 04/12/1979 CATHOLIC KNIGHTS INVESTMENT CORPORATION (CRD#:5218)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.