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Detailed Report
JOY TEVES DUTMERS
JOY TEVES ZABATE
CRD#: 3111710
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 575 ANTON BLVD STE 910
COSTA MESA, CA 92626
Registration History
20002002200420062008201020122014201620182020202220242026IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2005 - Present (19 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)1999 - Present (25 years)
License(s)

State Registrations

B
California 12/15/1999
B
New York 9/25/2023
IA
California 10/17/2005

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)
575 ANTON BLVD STE 910, COSTA MESA, CA 92626
Orange, CA
Registered with this firm since 10/17/2005
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
575 ANTON BLVD STE 910, COSTA MESA, CA 92626
Orange, CA
Registered with this firm since 12/15/1999
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.