Great Falls, MT 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
1321 8th Ave N Ste 105
Great Falls MT 59401
Advisors at this office
2
Advisors at this office
Ronald M
ChFC®, Series 63
Great Falls, MT
Principal Financial Services
Ronald Merry is a financial advisor with Principal Financial Services in Great Falls, MT, holding the ChFC® and Series 63 designations and bringing 43 years of industry experience. He has worked with Principal Life Insurance Company since 1998 and Principal Securities Inc. since 1983, with a two-year tenure at Union Financial Inc. He serves as a board member of the Sun River Skeet Club and is involved in local financial professional organizations. Additionally, he owns a small hay farm where hay is grown and sold, and he holds a position as Affiliate Chairperson for NAIFA Montana North. Principal Securities provides brokerage and registered investment advisory services to a diverse client base including individuals, retirement plans, trusts, and organizations. The firm offers financial planning, retirement plan consulting, and access to third-party money manager programs through both adviser and promoter arrangements.
Matthew M
Series 63, Series 65
Great Falls, MT
Principal Financial Services
Matthew Merry is a financial advisor with Principal Financial Services, holding Series 63 and Series 65 licenses and 14 years of industry experience. He has worked at Principal Securities Inc and Principal Life Insurance Company since 2011 and was previously with Union Financial Inc from 2015 to 2017. Outside of his advisory work, he serves as both director and secretary on the board of the Golden Triangle Sporting Dog Club, organizing events and managing club records. 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 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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