Financial ADVSR advisor directory · SEC adviser records
Principal Securities, Inc. financial advisors in Charlotte, NC
Every SEC-registered investment adviser representative at a Principal Securities, Inc. office in Charlotte, A to Z.
The short answer
17 registered advisors work at Principal Securities, Inc. in Charlotte, out of 1,318 at the firm nationwide; it ranks number 42 in the city by advisors. 2 list the CFP designation and 17 are also registered broker representatives.
Principal Securities, Inc. advisors in Charlotte, A to Z
Every Principal Securities, Inc. advisor →- Kristin M. AndrewsAlso a broker rep
- Leslie A. ArcuriAlso a broker rep
- Julie M. BabcockAlso a broker rep
- Shawn J. BedfordAlso a broker rep
- Kermit K. BolickAlso a broker rep
- Donald S. BrovickAlso a broker rep
- Richard J. CusterAlso a broker rep
- Michael EnriquezAlso a broker rep
- Mark R. FryCertified Financial Planner · Also a broker rep
- Kristin E. HallAlso a broker rep
- Alysha M. HumbertAlso a broker rep
- Rachael M. McKellarAlso a broker rep
- Gerard J. NietersAlso a broker rep
- Holly W. OndaAlso a broker rep
- Kevin M. PhinneyCertified Financial Planner · Also a broker rep
- Norman F. PierceAlso a broker rep
- Paul C. SchreiberAlso a broker rep
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 19Overland Park, KS 18Wayne, PA 18Wauwatosa, WI 17Downers Grove, IL 16Melville, NY 16San Diego, CA 16Addison, TX 15
Other firms in Charlotte
All Charlotte advisors →Vanguard Advisers, Inc. 642Merrill Lynch, Pierce, Fenner & Smith Incorporated 428Wells Fargo Clearing Services, LLC 342Tiaa-Cref Individual & Institutional Services, LLC 327UBS Financial Services Inc. 144Truist Advisory Services, Inc. 118LPL Financial LLC 114Morgan Stanley 101Ameriprise Financial Services, LLC 100Strategic Advisers LLC 79Principal Advised Services 66Ip Financial Advisory Services LLC 60
Questions
How many financial advisors does Principal Securities, Inc. have in Charlotte?
17 investment adviser representatives are registered at Principal Securities, Inc. offices in Charlotte, North Carolina, according to the SEC's Investment Adviser Public Disclosure records, out of 1,318 nationwide. 2 list the CFP designation and 17 are also registered as broker representatives.
Is Principal Securities, Inc. one of the largest advisor employers in Charlotte?
Principal Securities, Inc. ranks number 42 in Charlotte by registered advisors; Vanguard Advisers, Inc. has the most, with 642.
How do I check a Principal Securities, Inc. advisor in Charlotte?
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.