Tucson, AZ N La Cholla 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
7498 N La Cholla Blvd
Tucson AZ 85741
Advisors at this office
4
Advisors at this office
Lisa Z
Series 63, Series 65
Tucson, AZ
Principal Financial Services
Lisa Zak is a financial advisor with Principal Financial Services in Tucson, AZ, holding Series 63 and Series 65 licenses and bringing 25 years of industry experience. She has worked at Crest Insurance, Principal Life Insurance Company, and Princor Financial Services Corporation, and she is involved in sales support activities at Vetrano Financial Services. Outside of her advisory work, she has a notary commission but does not use it for business purposes. Principal Securities offers brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, and corporations. The firm provides access to third-party money manager programs and financial planning with various promoter and referral arrangements.
Luke R
Series 66
Tucson, AZ
Principal Financial Services
Luke Reilly is a financial advisor with Principal Financial Services based in Tucson, AZ. He holds a Series 66 designation and has five years of industry experience. His prior roles include positions at Alliance Group and multiple entities within Principal since 2020. He is also licensed as an insurance agent for life, annuities, disability income, long-term care, health, and Medicare supplements. 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. The firm offers financial planning, retirement consulting, and access to third-party money manager programs under various advisory and promoter arrangements.
Joseph V
Series 63, Series 66
Tucson, AZ
Principal Financial Services
Joseph Vetrano is a financial advisor with Principal Financial Services in Tucson, AZ, holding Series 63 and Series 66 licenses and seven years of industry experience. He has worked with Vetrano Financial Services since 2013 and has been affiliated with Principal Securities Inc and Principal Life Insurance Company since 2018. Outside of advising, he is involved in the sale and service of fixed life, annuity, long-term care, disability, group benefit, and health insurance. 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 military personnel abroad. The firm offers direct advisory programs, financial planning, retirement plan consulting, and access to third-party money manager solutions through various investment adviser and promoter arrangements.
Thomas V
Series 63, Series 66
Tucson, AZ
Principal Financial Services
Thomas Vetrano is a financial advisor with Principal Financial Services in Tucson, AZ, holding Series 63 and Series 66 licenses and bringing 38 years of industry experience. He has worked with Principal Securities Inc. since 1987 and founded Vetrano Financial Services in 2000. Outside of his advisory work, he serves on the boards of the 911 Tower Challenge Foundation and the Hearts of Gold Police Family Outreach Foundation. 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. The firm offers financial planning, retirement consulting, and access to third-party money manager programs through both advisory and promoter arrangements.
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