Richard Bazyl Gruszewski
Investment Adviser Representative at Principal Securities, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Richard Bazyl Gruszewski is an investment adviser representative with Principal Securities, Inc. in Amherst, NY, where they have been registered since 2024. They have worked in the securities industry since 2018 and have been registered with 3 firms, including FSP Advisors, Inc. and AXA Advisors, LLC. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in New York.
Office
Advisors at this office: 11
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- New York
- Broker:
2 states and territories
Florida, New York
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.
- XeroxOct 2017 – Aug 2021Webster, NY
- ConduentJan 2017 – Jun 2017Webster, NY
- XeroxJan 2008 – Dec 2016Webster, NY
- UnemployedJun 2017 – Oct 2017Penfield, NY
- AXA Advisors LLCMay 2018 – Jun 2019New York, NY
- Leigh Baldwin & Co., LLCNov 2019 – May 2024Cazenovia, NY
- FSP Advisors, IncNov 2019 – May 2024Rochester, NY
- Bristol IDApr 2023 – Feb 2024Lima, NY
- Principal Life Insurance CompanyMay 2024 – no end date reportedAmherst, NY
- Principal Securities, Inc.May 2024 – no end date reportedAmherst, NY
Official records & sources
Data as of June 28, 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.
Showing 12 of 1,635 in the directory
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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. Richard Bazyl Gruszewski 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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