Thomas
Johnson

Principal Securities, Inc

CRD#4191577
Investment Advisor
in Minneapolis, MN

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About this Advisor

Thomas Johnson is a financial advisor based in Minneapolis, Minnesota with a total of 12 years of relevant experience. Johnson is on the advisory team at Principal Securities, Inc. Over the course of their career, Johnson has held roles at Principal Financial and Principal Securites Inc. Johnson holds Series 63 and Series 65 licenses, qualifying them as both a securities agent and an investment advisor representative, and is registered to work in Kansas. Principal Securities, Inc is an advisory business based in Des Moines, IA. The firm has offices in 350 locations and a total of 1,430 people on staff. It controls $9 billion in assets under management among its 46,075 client accounts, making it one of the largest investment advisory firms in the United States by assets under management. The firm advises 34 charitable organizations. Of its 46,075 client accounts, just 3% are associated with high-net-worth individuals who have more than $1 million in assets available to invest. The advisory firm has 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. Fees charged by financial advisors typically depend on which service is offered. Fee types charged by Principal Securities, Inc likely are comprised of any combination of asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

12 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

222 S 9Th St Ste 1300
Minneapolis, MN 55402

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Principal Securities, Inc Brokerage Details

Total Assets Under Management

$9,416,854,861

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

1,430

MN Average: 166
Total Number of Accounts

46,075

MN Average: 7,189
Average Account Size

$204,381

MN 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 Johnson Work History

Thomas has been registered as a financial advisor for 12 years.*

2011 - Present (13 years)

Principal Financial

2011 - Present (13 years)

Principal Securites Inc

*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 Johnson 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

Sean Oconnor
Syracuse, NY
Guy Ridout
Seattle, WA
Nicholas Albani
Tampa, FL
Benjamin Eichler
Williamston, MI
Gregory Schmitt
San Diego, CA
Shawn Will
Raleigh, NC
James Henry
Wdm, IA
Michael Hunt
Melville, NY

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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