Winston Salem, NC 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
2990 Bethesda Pl, Ste 601 A
Winston Salem NC 27103
Advisors at this office
3
Advisors at this office
Paul A
Series 65, Series 63
Winston Salem, NC
Principal Financial Services
Paul Adkins is a financial advisor with Principal Financial Services in Winston Salem, NC, holding Series 65 and Series 63 licenses and 10 years of industry experience. He has worked with Principal Securities Inc and Principal Life Insurance Company since 2019 and previously spent three years at Parsonex Advisory Services and over two decades at Home Depot. He is also licensed as an agent for fixed insurance products including life, annuities, disability income, long-term care, and health insurance. Principal Securities provides brokerage and registered investment advisory services to a diverse client base, including individual investors, retirement plans, trusts, 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 programs under various advisory and promoter arrangements.
David R
Series 66
Winston Salem, NC
Principal Financial Services
David Ratcliffe is a financial advisor with Principal Financial Services in Winston Salem, NC. He holds a Series 66 designation and has 19 years of industry experience. Ratcliffe has worked with Principal Securities Inc. for 10 years and with Principal Life Insurance Company for 17 years. Outside of finance, he is a playwright, with one of his plays produced commercially and involvement in compensated writing contests. 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, and access to third-party money manager solutions under various advisory and promoter arrangements.
Samuel J
Series 66
Winston Salem, NC
Principal Financial Services
Samuel Jensen is a Series 66-credentialed financial advisor with one year of industry experience, currently with Principal Financial Services in Winston Salem, NC. Prior to joining Principal, he worked at Buckeye Advisors for three years and has held various roles in diverse industries including Valet Living, Door Dash, and Principal Life Insurance Company. Principal Securities provides brokerage and registered investment advisory services to a broad range of clients including individual investors, retirement plans, trusts, and charitable organizations. The firm offers direct advisory programs, financial planning, and access to third-party money manager asset allocation and separately managed account solutions.
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