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Financial ADVSR advisor directory · SEC adviser records

Principal Securities, Inc. financial advisors in New York

Every SEC-registered investment adviser representative at a Principal Securities, Inc. office in New York, by city and A to Z.

The short answer

60 registered advisors work at Principal Securities, Inc. in New York, out of 1,318 nationwide; it's the firm's number 6 state by advisors, and the most are in Melville (16). 9 list the CFP designation and 60 are also registered broker representatives.

Principal Securities, Inc. advisors by city in New York

Every firm in New York →

Melville 16Amherst 9Latham 4Brooklyn 3Cooperstown 3Almond 2East Aurora 2Geneva 2Rochester 2Wantagh 2Canandaigua 1Clay 1Depew 1East Syracuse 1Fairport 1Geneseo 1Greece 1Loudonville 1Massapequa 1Middletown 1Orchard Park 1Ossining 1Oswego 1Pittsford 1Syracuse 1

Principal Securities, Inc. advisors in New York, A to Z

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

Principal Securities, Inc. in other states

Iowa 320California 112Florida 81Minnesota 69Texas 63Wisconsin 57North Carolina 55Pennsylvania 41Illinois 40Nebraska 34Georgia 32Michigan 32South Dakota 26Ohio 25Colorado 24Kansas 22Missouri 22Arizona 21Tennessee 18South Carolina 14Alabama 13New Jersey 11Virginia 11Maryland 10Oregon 10Delaware 9Idaho 9North Dakota 9Washington 9Indiana 8Oklahoma 6Utah 6New Hampshire 5Connecticut 4Massachusetts 4Maine 4Montana 4Kentucky 3Louisiana 3Wyoming 3

Questions

How many Principal Securities, Inc. financial advisors are in New York?

60 investment adviser representatives are registered at Principal Securities, Inc. offices in New York, according to the SEC's Investment Adviser Public Disclosure records, out of 1,318 at the firm nationwide. 9 list the CFP designation and 60 are also registered as broker representatives.

Where in New York does Principal Securities, Inc. have the most advisors?

Melville, with 16, then Amherst (9). Principal Securities, Inc. has advisors in 25 cities in New York.

How do I check a Principal Securities, Inc. advisor in New York?

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.