Stuart Roy Van Ess
Investment Adviser Representative at Principal Advised Services
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Stuart Roy Van Ess is an investment adviser representative in Bloomington, MN, currently registered with Principal Securities, Inc. and Principal Advised Services. They have worked in the securities industry since 2012 and were previously registered with Transamerica Retirement Advisors, LLC. They have passed 5 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 Iowa and Minnesota.
Registrations & licenses
- Investment adviser:
- Iowa, Minnesota
- Broker:
13 states and territories
Arkansas, Colorado, Connecticut, Florida, Iowa, Massachusetts, Minnesota, Nebraska, New Hampshire, Oklahoma, South Dakota, Utah, Vermont
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.
- Transamerica Retirement SolutionsDec 2013 – Nov 2023St. Paul, MN
- Transamerica Investors Securities CorporationJan 2014 – Nov 2023St. Paul, MN
- Principal Life Insurance CompanyNov 2023 – no end date reportedDes Moines, IA
- Principal Securities, IncNov 2023 – no end date reportedDes Moines, IA
- Principal Advised ServicesNov 2023 – no end date reportedBloomington, MN
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Principal Advised Services
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Fixed fee
- Estimated blended rate
- 0.005
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
$1B–$5B
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 224
- Offices listed on AdvisorFinder:
- 3
- Main office:
- Des Moines, IA
- SEC file number:
- 801-114432
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of July 10, 2026
View full firm profileOther advisors at Principal Advised Services
Showing 12 of 224 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. Stuart Roy Van Ess 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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