TrueAdvisor
TrueAdvisor
AS
CFA
AS
CFA

Adam Zain Justus Shah

Principal Securities, INC.
11 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

711 High St, Des Moines, IA, 50392

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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.
May 2023 - Present · 2 yrs 9 mos
Principal Securities, INC.
May 2023 - Present · 2 yrs 9 mos
Principal Securities, INC.Broker
May 2023 - Present · 2 yrs 9 mos
Previous Registrations
Wells Fargo Advisors Financial Network, LLC
August 2014 - May 2018 · 3 yrs 9 mos
Wells Fargo Advisors Financial Network, LLCBroker
August 2014 - May 2018 · 3 yrs 9 mos
Wells Fargo Clearing Services, LLCBroker
October 2011 - May 2018 · 6 yrs 7 mos
Wells Fargo Clearing Services, LLC
September 2011 - May 2018 · 6 yrs 8 mos
National Securities CorporationBroker
December 2008 - October 2010 · 1 yr 10 mos
State Registrations2 states
IAMO
Advisor
Exams
No exam information available for this advisor.