Cooperstown, NY 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
55 Grove St Unit 57
Cooperstown NY 13326
Advisors at this office
3
Advisors at this office
Jason T
CFP®, Series 63
Cooperstown, NY
Principal Financial Services
Jason Tabor is a CFP® with 22 years of industry experience, currently with Principal Financial Services. His prior roles include positions at Allied Financial Partners, Securities America, and Principal Life Insurance. He serves as the incoming board chair of the Otsego County Chamber of Commerce. Principal Securities offers brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, and charitable organizations. The firm’s advisory services emphasize financial planning, retirement plan consulting, and access to third-party money manager programs under various advisory and promoter arrangements.
Matthew P
Series 66
Cooperstown, NY
Principal Financial Services
Matthew Powers is a financial advisor at Principal Financial Services with a Series 66 designation and one year of industry experience. His prior roles include positions at Principal Life Insurance Company, Principal Securities, Inc., and Equitable Advisors, LLC. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, estates, charitable organizations, corporations, and active-duty U.S. military personnel overseas. 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.
Tyler J
Series 66
Cooperstown, NY
Principal Financial Services
Tyler Jones is a financial advisor with Principal Financial Services holding a Series 66 credential. He has recently begun his career in the industry, joining Principal Securities Inc. and Principal Life Insurance Co. in 2025. Prior to this, his work experience includes roles in various sectors such as education, food service, and delivery services. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, estates, charitable organizations, corporations, and active-duty U.S. military personnel abroad. The firm offers direct advisory programs, financial planning, retirement plan consulting, and access to third-party money manager solutions under multiple advisory and promoter arrangements.
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