Mark B McRoy
Investment Adviser Representative at Principal Securities, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Mark B. McRoy is an investment adviser representative with Principal Securities, Inc. in Roanoke, VA, where they have been registered since 2025. They have worked in the securities industry since 2016 and were previously registered with Mutual of Omaha Investor Services, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in Virginia.
Registrations & licenses
- Investment adviser:
- Virginia
- Broker:
6 states and territories
Florida, Maryland, New Jersey, North Carolina, South Carolina, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- New York LIfe Insurance CompanyAug 2018 – Apr 2020Roanoke, VA
- NYLIFE Securities LLCSep 2018 – Apr 2020Roanoke, VA
- Sanofi USOct 2015 – May 2018Roanoke, VA
- unemployedMay 2018 – Jul 2018Roanoke, VA
- Allstate Insurance CompanyApr 2020 – Oct 2020Roanoke, VA
- United Health CareSep 2018 – Mar 2025Roanoke, VA
- Mutual of Omaha Insurance CompanySep 2020 – Mar 2025Roanoke, VA
- Principal LIFE Insurance CoMar 2025 – Sep 2026Roanoke, VA
- Principal Securities IncMar 2025 – Sep 2026Roanoke, VA
- Wells Fargo Clearing Services, LLCSep 2026 – no end date reportedRoanoke, VA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Principal Securities, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,635
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Des Moines, IA
- SEC file number:
- 801-54949
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at Principal Securities, Inc.
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Mark B McRoy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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