Butler, MO 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 Sunset View Dr, Ste 1
Butler MO 64730
Advisors at this office
3
Advisors at this office
Brett M
Series 66
Butler, MO
Principal Financial Services
Brett Miller is a financial advisor with Principal Financial Services, holding a Series 66 designation and five years of industry experience. Prior to joining Principal, he worked at Citizens Bank from 2016 to 2021. Miller also holds an outside insurance agent position, providing fixed insurance products including life, disability, long-term care, and group benefits. Principal Securities offers brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, charitable organizations, corporations, and active-duty military personnel. The firm provides financial planning, retirement plan consulting, and access to third-party money manager programs through both advisory and promoter arrangements.
William S
ChFC®, Series 63, Series 65
Butler, MO
Principal Financial Services
William Stephens is a financial advisor with Principal Financial Services in Butler, MO, holding the ChFC® designation and Series 63 and 65 licenses. He has 29 years of industry experience, with prior roles at Union Financial and Stephens / Heffner Financial Partners. Outside of advising, Stephens serves as president of the Butler R-V School Board, is a board member of the Butler RV Education Foundation, owns a gym, and participates in several business ventures including a startup internet web design company. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, offering financial planning, retirement plan consulting, and access to third-party money manager solutions under various advisory and promoter arrangements.
Drake S
Series 66
Butler, MO
Principal Financial Services
Drake Stephens is a financial advisor at Principal Financial Services with a Series 66 designation and one year of industry experience. Prior to joining Principal, he was with Stephens Heffner Financial Partners and has experience working with organizations including the Kansas City Zoo and Aquarium and the Missouri Department of Conservation. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, estates, and charitable organizations. 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.
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