David
Schwartz

Principal Securities, Inc

CRD#5816946
Investment Advisor
in Lake Oswego, OR

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About this Advisor

David Schwartz is a financial advisor who works out of Lake Oswego, Oregon, with a total of 4 years of industry experience. Schwartz is currently employed by Principal Securities, Inc. During their career, the advisor has held roles at Nylife Securities LLC, New York Life Insurance Company, Eagle Strategies LLC, Principal Securities Inc and Principal Life Insurance Company. Schwartz has Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is able to operate in Oregon and Texas. Principal Securities, Inc is an advisory firm based in Des Moines, IA. The firm has offices in 350 locations and a total of 1,430 advisors. It oversees $9 billion in total assets among its 46,075 accounts, making it one of the biggest firms in the United States by assets under management. The firm serves 34 charities and foundations. Of its 46,075 client accounts, just 3% are associated with high-net-worth investors who have at least $1 million in assets. Principal Securities, Inc performs a number of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers and educational seminars. Fees charged by financial advisors usually vary depending on which services the firm provides the client. Fees billed by Principal Securities, Inc likely include any combination of asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

4 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Pension consulting services, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others

Office Location

5665 Meadows Rd Ste 350
Lake Oswego, OR 97035

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Principal Securities, Inc Brokerage Details

Total Assets Under Management

$9,416,854,861

OR Average: $9,259,360,772
Total Number of Employees

1,430

OR Average: 166
Total Number of Accounts

46,075

OR Average: 7,189
Average Account Size

$204,381

OR Average: $1,287,990

Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops

David Schwartz Work History

David has been registered as a financial advisor for 4 years.*

2019 - Present (5 years)

Principal Securities Inc

2019 - Present (5 years)

Principal Life Insurance Company

2016 - 2019 (3 years)

Eagle Strategies LLC

2010 - 2019 (9 years)

Nylife Securities LLC

2010 - 2019 (9 years)

New York Life Insurance Company

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of David Schwartz to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Principal Securities, Inc

Jairus Halladay
Milwaukee, WI
Paige Lewis
Seattle, WA
Alison White
Birmingham, AL
Benjamin Eichler
Williamston, MI
Justin Terrell
Bethesda, MD
Michael Adelman
Des Moines, IA
Craig Forster
Arlington, TX
James Henry
Wdm, IA

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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Certified Financial Planner Board of Standards, Inc. (CFP Board) owns the certification marks CFP® and CERTIFIED FINANCIAL PLANNER™ in the United States, which it authorizes the use of by individuals who successfully complete CFP Board’s initial and ongoing certification requirements.

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