Sandra Kay Bawolek
Investment Adviser Representative at Principal Securities, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Sandra Kay Bawolek is an investment adviser representative with Principal Securities, Inc. in Wauwatosa, WI, where they have been registered since 2014, the year they entered the securities industry. 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 Georgia, Texas, and Wisconsin.
Office
Advisors at this office: 25
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- Georgia, Texas, Wisconsin
- Broker:
18 states and territories
Arizona, California, Colorado, Florida, Georgia, Illinois, Iowa, Michigan, Minnesota, Nevada, North Carolina, North Dakota, Oregon, Tennessee, Texas, Virginia, Washington, Wisconsin
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.
- Principal LIFE Insurance ServicesOct 2010 – Dec 2016Milwaukee, WI
- Synergy Advisory GroupJun 2018 – Oct 2019Neenah, WI
- Principal Securities IncMar 2016 – no end date reportedWauwatosa, WI
- Principal LIFE Insurance CompanyJul 2018 – no end date reportedWauwatosa, WI
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. Sandra Kay Bawolek 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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