Aaron Ruen

Principal Advised Services

10 Years of Experience

1 DisclosureBroker

View SEC Summary

Areas of Practice

Retirement PlanningFinancial Planning & Coaching

Principal Advised Services

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

216 advisors

Number of Clients

16,940 clients

Average Client Portfolio

$52K average

Assets Under Management

$887.3M

Fee Structure

Minimum Investment:$5K

Financial Planning:Investment management only

Location

Gastonia, NC

Get directions

History

Regulatory History (1)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Criminal

July 2006

Final Disposition

View Full SEC Report How to Read Disclosures

Other Business Activities

Aaron works as a Retirement Consultant and in Advice, Education & Sales for Principal, offering investment advice and selling bank deposit products. Both roles are investment-related and take up nearly all of Aaron's time.

Employment History

Current Registrations

Principal Advised Services

May 2024 - Present · 1 yr 9 mos

Principal Securities, INC.

March 2021 - Present · 4 yrs 11 mos

Principal Securities, INC.Broker

March 2021 - Present · 4 yrs 11 mos

Previous Registrations

Wells Fargo Clearing Services, LLCBroker

September 2015 - March 2021 · 5 yrs 6 mos

State Registrations51 states

AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY

AdvisorBrokerBoth

Exams

No exam information available for this advisor.