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Detailed Report
DAVID PHILIP LERNER
CRD#: 6048520
IA
Investment Adviser
B
Broker
PRINCIPAL SECURITIES, INC.CRD#: 1137 14276 SW 4TH PL
NEWBERRY, FL 32669
Registration History
2014201520162017201820192020202120222023202420252026IAPRINCIPAL SECURITIES, INC. (CRD# 1137)2016 - Present (8 years)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2014 - Present (10 years)
License(s)

State Registrations

B
Alabama 3/28/2022
B
Nevada 8/2/2018
B
Arizona 8/5/2022
B
New Jersey 3/2/2022
B
California 1/8/2025
B
New York 2/17/2021
B
Florida 11/13/2014
B
Ohio 8/19/2020
IA
Florida 10/20/2016
B
Pennsylvania 12/5/2022
B
Georgia 8/13/2015
B
South Carolina 1/3/2023
B
Illinois 1/7/2021
B
Tennessee 12/9/2024
B
Louisiana 3/28/2022
B
Texas 1/7/2021
B
Maryland 3/28/2022
IA
Texas 6/18/2021
B
Massachusetts 1/9/2024
B
Utah 6/2/2023
B
Missouri 4/22/2022
B
Washington 1/21/2021

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)
14276 SW 4TH PL, NEWBERRY, FL 32669
Registered with this firm since 10/20/2016
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
14276 SW 4TH PL, NEWBERRY, FL 32669
Registered with this firm since 11/13/2014
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.