Principal Securities, Inc

Investment Advisor
in San Diego, CA

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About this Advisor

Stephan Sandoval is a certified financial planner whose office is in San Diego, California. Currently a registered investment advisor with Principal Securities, Inc, they have accumulated 10 years of experience in the financial advisory industry. Sandoval holds Series 63 and Series 66 licenses, certifying the advisor as a securities agent. Sandoval can operate based out of California. The advisor has gained experience at Principal Financial and Princor. Principal Securities, Inc is located in San Diego, California, and has 350 brick-and-mortar locations across the nation. In aggregate, Principal Securities, Inc oversees $8 billion in assets covering 34,673 client accounts and retains more than 1,564 people. The amount of assets the firm manages makes it one of the largest financial advisory firms in the nation. The firm manages 19,334 accounts on a discretionary basis, meaning the advisor makes investment decisions at their discretion. Currently 4% of the advisory firm's customers are high-net-worth individuals, meaning they have greater than $1 million in investable assets. Principal Securities, Inc offers financial planning services, portfolio management for individuals and small businesses, selection of other advisers and educational seminars. The firm may charge clients asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 66, Certified Financial Planner

Years of Experience

10 years

Services Offered

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

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others



Office Location

9330 Scranton Rd Ste 270
San Diego, CA 92121

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Principal Securities, Inc Brokerage Details

Total Assets Under Management


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


CA Average: 166
Total Number of Accounts


CA Average: 7,189
Average Account Size


CA Average: $1,287,990

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Investment Advisory Services

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

Stephan Sandoval Work History

Stephan has 10 years of experience.

2010 - Present (11 years)

Principal Financial

2010 - Present (11 years)



Stephan Sandoval has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Principal Securities, Inc

Marc Shepherd
Charlotte, NC
Skyler Roorda
Des Moines, IA
Jesse Clark
Sioux Falls, SD
William Schumaker
Mequon, WI
Jared Lapham
Cleveland, OH
Lyndon Crawford
Des Moines, IA
Alejandro Cook
Des Moines, IA
Rick Peterson
Hopkins, MN

This content was compiled from the SEC and FINRA.

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