Adelaide Pund

Principal Securities, INC.

30 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment Management

Principal Securities, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

1605 advisors

Number of Clients

48,723 clients

Average Client Portfolio

$304K average

Assets Under Management

$14.8B

Fee Structure

Financial Planning:Investment management only

Location

LaJolla, CA

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

Principal Securities, INC.

December 2022 - Present · 3 yrs 2 mos

Principal Securities, INC.Broker

December 2022 - Present · 3 yrs 2 mos

Principal Securities, INC.

December 2022 - Present · 3 yrs 2 mos

Previous Registrations

Cetera Financial Specialists LLCBroker

April 2021 - December 2022 · 1 yr 8 mos

Cetera Investment Services LLCBroker

April 2021 - December 2022 · 1 yr 8 mos

Cetera Investment Advisers LLC

November 2020 - December 2022 · 2 yrs 1 mo

Cetera Advisors LLCBroker

November 2019 - December 2022 · 3 yrs 1 mo

First Allied Advisory Services, INC.

May 2014 - November 2020 · 6 yrs 6 mos

First Allied Securities, INC.Broker

May 2014 - September 2022 · 8 yrs 4 mos

LPL Financial LLCBroker

November 2013 - May 2014 · 6 mos

Foreside Fund Services, LLCBroker

May 2012 - September 2012 · 4 mos

Brandes Investment Partners, LP

February 2002 - June 2010 · 8 yrs 4 mos

Quasar Distributors, LLCBroker

October 2001 - June 2010 · 8 yrs 8 mos

First Fund Distributors, INC.Broker

November 1999 - October 2001 · 1 yr 11 mos

Linsco/private Ledger CORP.Broker

September 1995 - April 1998 · 2 yrs 7 mos

Scudder Investor Services, INC.Broker

August 1990 - August 1995 · 5 yrs

State Registrations2 states

CAIA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.