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Detailed Report
ANDREW JAMES PAOLINI
CRD#: 6058133
IA
Investment Adviser
B
Broker
PRINCIPAL ADVISED SERVICESCRD#: 297324 575 7TH ST
DES MOINES, IA 50392
PRINCIPAL SECURITIES, INC.CRD#: 1137 401 McCullough Dr Ste 200
Charlotte, NC 28262
Registration History
201220142016201820202022202420262 FIRMS2012 - 2021 (9 years)IAPRINCIPAL ADVISED SERVICES (CRD# 297324)2023 - Present (1 year)BPRINCIPAL SECURITIES, INC. (CRD# 1137)2021 - Present (3 years)
License(s)

State Registrations

B
Arkansas 12/10/2021
B
North Carolina 7/13/2021
B
Colorado 12/10/2021
IA
North Carolina 6/23/2023
B
Connecticut 12/10/2021
B
Oklahoma 12/10/2021
B
Florida 12/10/2021
B
South Dakota 12/10/2021
IA
Iowa 4/5/2024
B
Utah 12/10/2021
B
Massachusetts 12/10/2021
B
Vermont 12/10/2021
B
Nebraska 12/6/2021

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 ADVISED SERVICES (CRD#:297324)
575 7TH ST, DES MOINES, IA 50392
BELMONT, NC
Registered with this firm since 6/23/2023
B
PRINCIPAL SECURITIES, INC. (CRD#:1137)
401 McCullough Dr Ste 200, Charlotte, NC 28262
Belmont, NC
Registered with this firm since 7/13/2021
Previous Registration(s)
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IA
 07/10/2012 - 06/25/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHARLOTTE, NC
B
 06/05/2012 - 06/25/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) CHARLOTTE, NC
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.