Thomas
Stapleton

Principal Securities, Inc

CRD#6502963
Investment Advisor
in Atlanta, GA

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About this Advisor

Thomas Stapleton is a financial advisor who works out of Atlanta, Georgia with a total of 1 year of industry experience. Stapleton is currently employed by Principal Securities, Inc. Their career trajectory has included roles at Wells Fargo Advisors, Autotal LLC, Apple Inc, Guaranteed Rate Affinity, Angel Oak Home Loans LLC, Transamerica Financial Advisor, World Financial Group, Inc, Loandepot.Com, Principal Life Insurance Company and Principal Securities Inc. Stapleton maintains Series 65 and Series 63 licenses, which qualify them as both a securities agent and an investment advisor representative, and can advise clients in Georgia. Principal Securities, Inc is a financial advisory company based out of Des Moines, IA. The company has offices in 350 locations and a total of 1,430 financial advisors. It controls $9 billion in assets under management across its 46,075 customer accounts, making it one of the largest financial advisory firms in the United States by assets under management. The firm provides financial advisory services to 34 charities and foundations. Of its 46,075 customer accounts, just 3% are associated with high-net-worth clients who have at least $1 million in assets. Principal Securities, Inc provides a number of services, such as financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers and educational seminars. Financial management fees usually depend on the services. Fees billed by Principal Securities, Inc likely include asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 65, Series 63

Years Registered*

1 year

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

3625 Cumberland Blvd Se Ste 1000
Atlanta, GA 30339

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Principal Securities, Inc Brokerage Details

Total Assets Under Management

$9,416,854,861

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

1,430

GA Average: 166
Total Number of Accounts

46,075

GA Average: 7,189
Average Account Size

$204,381

GA 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

Thomas Stapleton Work History

Thomas has been registered as a financial advisor for 1 years.*

2022 - Present (2 years)

Principal Life Insurance Company

2022 - Present (2 years)

Principal Securities Inc

2021 - 2022 (1 year)

Loandepot.Com

2020 - 2020 (< 1 year)

Angel Oak Home Loans LLC

2020 - 2022 (2 years)

Transamerica Financial Advisor

2020 - 2022 (2 years)

World Financial Group, Inc

2018 - 2020 (2 years)

Guaranteed Rate Affinity

2015 - 2015 (< 1 year)

Wells Fargo Advisors

2015 - 2018 (3 years)

Apple Inc

2009 - 2015 (6 years)

Autotal LLC

*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 Thomas Stapleton 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

Janice Adams
Phoenix, AZ
Sean Oconnor
Syracuse, NY
Jairus Halladay
Milwaukee, WI
Michael Hunt
Melville, NY
Justin Terrell
Bethesda, MD
Nicholas Albani
Tampa, FL
James Henry
Wdm, IA
Conrad Beeler
Lansing, MI

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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