Altoona, PA Lakemont Park Blvd 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
350 Lakemont Park Blvd, Ste 3
Altoona PA 16602
Advisors at this office
2
Advisors at this office
Jesse I
Series 63, Series 65
Altoona, PA
Principal Financial Services
Jesse Ickes is a financial advisor with Principal Financial Services in Altoona, PA, holding Series 63 and Series 65 licenses and bringing 10 years of industry experience. He has previously worked with Beck Financial and Wealth Management, LLC, and has been affiliated with Principal Securities Inc. since 2016. Outside of his financial services work, Ickes serves on the Altoona City Council, the Altoona Water Authority board, and holds leadership roles in local community organizations including the Kiwanis Club of Altoona and First Baptist Church. Principal Securities provides brokerage and registered investment advisory services to a diverse client base including individual investors, retirement plans, trusts, and charitable organizations. The firm offers financial planning, retirement consulting, and access to third-party money managers through both adviser and promoter arrangements.
Janet S
Series 63, Series 65
Altoona, PA
Principal Financial Services
Janet Smithbower is a financial advisor with Principal Financial Services, holding Series 63 and 65 licenses and bringing 16 years of industry experience. She has previously worked at Beck, Smithbower, Ickes Financial, LLC, Principal Life Insurance Company, Beck Financial and Wealth Management, LLC, Hancock Associates Inc, The Hancock Group, Inc, and Principal Securities Inc. Outside of her advisory role, she serves as Assistant District Governor and board member for the Rotary Club of Ebensburg. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individuals, retirement plans, trusts, estates, charitable organizations, corporations, and active-duty military personnel outside the U.S. The firm offers financial planning, retirement plan consulting, and access to third-party money manager programs through both advisory and promoter arrangements.
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