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Financial ADVSR advisor directory · SEC adviser records

Principal Securities, Inc. financial advisors in San Jose, CA

Every SEC-registered investment adviser representative at a Principal Securities, Inc. office in San Jose, A to Z.

The short answer

5 registered advisors work at Principal Securities, Inc. in San Jose, out of 1,318 at the firm nationwide; it ranks number 39 in the city by advisors. 1 list the CFP designation and 5 are also registered broker representatives.

Principal Securities, Inc. advisors in San Jose, A to Z

Every Principal Securities, Inc. advisor →

Principal Securities, Inc. advisors in every city and state →Principal Securities, Inc.: assets, clients and custodians →Advisor Moves: who changed firms this week →

Principal Securities, Inc. advisors in other cities

Des Moines, IA 175West Des Moines, IA 70Minnetonka, MN 30Tampa, FL 24Sioux Falls, SD 22Atlanta, GA 20Raleigh, NC 19Roseville, CA 19Charlotte, NC 18Overland Park, KS 18Wayne, PA 18Wauwatosa, WI 17Downers Grove, IL 16Melville, NY 16San Diego, CA 16

Other firms in San Jose

All San Jose advisors →

Merrill Lynch, Pierce, Fenner & Smith Incorporated 105Wells Fargo Clearing Services, LLC 102Morgan Stanley 78Strategic Advisers LLC 58LPL Financial LLC 48Ameriprise Financial Services, LLC 44J.P. Morgan Securities LLC 34LPL Enterprise, LLC 31Transamerica Financial Advisors, LLC 23RBC Capital Markets, LLC 20UBS Financial Services Inc. 20Osaic Wealth, Inc. 18

Questions

How many financial advisors does Principal Securities, Inc. have in San Jose?

5 investment adviser representatives are registered at Principal Securities, Inc. offices in San Jose, California, according to the SEC's Investment Adviser Public Disclosure records, out of 1,318 nationwide. 1 list the CFP designation and 5 are also registered as broker representatives.

Is Principal Securities, Inc. one of the largest advisor employers in San Jose?

Principal Securities, Inc. ranks number 39 in San Jose by registered advisors; Merrill Lynch, Pierce, Fenner & Smith Incorporated has the most, with 105.

How do I check a Principal Securities, Inc. advisor in San Jose?

Each advisor below links to a profile with their registrations, exams, designations and how long they've been registered, plus links to the SEC's adviser search and FINRA BrokerCheck, where any disclosures are listed in full.

Source: the SEC's Investment Adviser Public Disclosure daily file. Advisors are listed at the city of the Principal Securities, Inc. office they're registered at; broker-only representatives (FINRA BrokerCheck) aren't included. Weighing a move? Compare payouts by firm or value a recruiting offer.