Alexandria, VA N Pitt St Office
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Principal Financial Services
Enterprise
Firm-wide stats for Principal Financial Services
About
Principal Securities provides brokerage and registered investment advisory services to a broad client base that includes individual investors (both non‑HNW and high net worth), qualified and nonqualified retirement plans, trusts, estates, charitable organizations, corporations and other business entities, and active‑duty U.S. military personnel residing or stationed outside the United States. Its advisory offering focuses on direct advisory programs, financial planning, retirement plan consulting, and access to third‑party money manager (TPMM) asset allocation and separately managed account solutions.
The firm makes TPMM programs available under two distinct arrangements: an investment adviser arrangement, where Principal may act as adviser or co‑advisor, and a promoter arrangement, where Financial Advisors refer clients to unaffiliated TPMMs and assist clients in selecting models and completing account setup and reviews. Investment implementation is generally carried out on a discretionary basis by the TPMMs; Principal evaluates TPMMs’ structure, costs and performance and provides ongoing client reviews through its Financial Advisors.
Distinctive features include a range of promoter and referral arrangements—Principal receives promoter payments from TPMMs, engages with third‑party lead‑generation firms, and provides business support to Financial Advisors tied to production targets—conflicts the firm discloses and subjects to supervisory controls. The firm’s regulatory history is also notable: it settled an SEC matter related to mutual fund share‑class selection and remedial payments, and it has disclosed that certain advisory arrangements (for example, some SEI and AssetMark investment adviser arrangements) are no longer offered to new accounts.
Based on Principal Financial Services
Location
100 N Pitt St Ste 400
Alexandria VA 22314
Advisors at this office
4
Advisors at this office
Peter W
Series 63, Series 66
Alexandria, VA
Principal Financial Services
Peter Webster is a financial advisor at Principal Financial Services with 13 years of industry experience. He holds Series 63 and Series 66 designations and has worked at Ford & Associates Wealth Management LLC and Principal Financial Services since 2017. Outside his advisory role, he serves as managing partner of Ford & Associates Wealth Management LLC, an entity formed to manage shared business expenses with a partner. Principal Securities offers brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, and military personnel. The firm provides direct advisory programs, financial planning, retirement consulting, and access to third-party money manager solutions through both advisory and promoter arrangements.
Robert M
Series 63, Series 65
Alexandria, VA
Principal Financial Services
Robert Mead is a financial advisor at Principal Financial Services with 33 years of industry experience. He holds Series 63 and Series 65 licenses and has worked at firms including LPL Financial and Grove Point Advisors. Outside of financial services, he is a business owner of Joan+Joe Coffee, LLC. Principal Securities provides brokerage and registered investment advisory services to a diverse clientele, including individual investors, retirement plans, trusts, estates, charitable organizations, corporations, and active-duty military personnel abroad. The firm offers direct advisory programs, financial planning, retirement plan consulting, and access to third-party money manager asset allocation and separately managed account solutions.
Joseph L
Series 66
Alexandria, VA
Principal Financial Services
Joseph Looney is a financial advisor with Principal Financial Services in Alexandria, VA, holding a Series 66 designation and nine years of industry experience. His prior roles include positions at Principal Life Insurance Company, Northwestern Mutual Investment Services LLC, Edward Shanahan, and Morgan Stanley. Outside of his advisory work, he assists with account and client management as private staff to Garrett Ford. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, and active-duty military personnel abroad. The firm emphasizes financial planning, retirement plan consulting, and access to third-party money manager programs with discretionary investment implementation.
Garrett F
CFP®, Series 63, Series 65
Alexandria, VA
Principal Financial Services
Garrett Ford is a CFP® professional with 25 years of industry experience, currently affiliated with Principal Financial Services. He has held roles at Ford & Associates Wealth Management LLC since 2018 and Principal Securities Inc. since 2016, with prior experience at Principal Life Insurance dating back to 2004. Ford is a co-owner of Ford & Associates Wealth Management LLC, a partnership formalized to manage business operations. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, and active-duty military personnel. The firm offers direct advisory programs, financial planning, retirement plan consulting, and access to third-party money manager asset allocation and separately managed accounts.
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