TrueAdvisor
TrueAdvisor
AB
AB

Adam Pierce Brown

Principal Securities, INC.
21 Years of Experience
Broker
View SEC Summary
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

4141 Parklake Ave, Ste 400, Raleigh, NC, 27612

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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.

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Employment History
Current Registrations
Principal Securities, INC.
October 2005 - Present · 20 yrs 4 mos
Principal Securities, INC.
July 2005 - Present · 20 yrs 7 mos
Principal Securities, INC.Broker
July 2005 - Present · 20 yrs 7 mos
Previous Registrations
Principal Funds Distributor, INC.Broker
May 2008 - September 2008 · 4 mos
Thrivent Investment Management INC.
March 2004 - May 2005 · 1 yr 2 mos
Thrivent Investment Management INC.Broker
November 2003 - May 2005 · 1 yr 6 mos
State Registrations1 state
NC
AdvisorBrokerBoth
Exams
No exam information available for this advisor.