San Jose, CA Metro Dr 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
101 Metro Dr Ste 375
San Jose CA 95110
Advisors at this office
3
Advisors at this office
Amit P
Series 63, Series 65
San Jose, CA
Principal Financial Services
Amit Patel is a financial advisor with Principal Financial Services in San Jose, CA. He holds Series 63 and Series 65 designations and has 18 years of industry experience. Prior to joining Principal Securities Inc in 2018, he worked at Morgan Stanley Smith Barney and Morgan Stanley Private Bank. Outside of finance, he is an instructor at The Academy of Self Defense, where he teaches self-defense and Krav Maga courses. 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 direct advisory programs, financial planning, retirement consulting, and access to third-party money manager asset allocations and separately managed accounts.
Daniel R
CFP®, ChFC®, Series 63, Series 65
San Jose, CA
Principal Financial Services
Daniel Robinson is a CFP® and ChFC® with 20 years of experience, currently affiliated with Principal Financial Services in San Jose, CA. He has been with Principal Life Insurance and Principal Securities since 2006. His professional activities include working with fixed insurance products such as life, disability income, annuities, group life, dental, and health insurance. Principal Securities offers brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, estates, nonprofits, corporations, and active-duty military personnel outside the U.S. The firm provides financial planning, retirement plan consulting, direct advisory programs, and access to third-party money manager asset allocation and separately managed account solutions.
Ricky R
Series 63, Series 65
San Jose, CA
Principal Financial Services
Ricky Romasanta is a financial advisor at Principal Financial Services with 10 years of industry experience. He holds Series 63 and Series 65 credentials and has been with Principal Securities and Principal Life Insurance Company since 2015. In addition to his advisory role, he works as a licensed agent offering life and disability insurance. 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 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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