Lawrence
Dillon

Principal Securities, Inc

CRD#3086067
Investment Advisor
in Loudonville, NY

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About this Advisor

Lawrence Dillon is a certified financial planner and chartered financial consultant operating out of Loudonville, New York who has 2 years of relevant experience. Dillon is an employee of Principal Securities, Inc. During their career, Dillon has held roles at Key Investment Services LLC, Keybank N.A, Principal Life Insurance Company and Principal Securities Inc. Dillon holds a Series 66 license, certifying them as both a securities agent and an investment advisor representative, and is able to work in New York. Principal Securities, Inc is a financial advisory company that has its headquarters in Des Moines, IA. The firm has offices in 350 locations and a total of 1,430 people on staff. It has $9 billion in assets across its 46,075 accounts, placing it among the biggest firms in the country by assets under management. The firm advises 34 charitable organizations. Of its 46,075 customer accounts, just 3% are associated with high-net-worth individuals who have at least $1 million in assets available to invest. The company has a broad set of services, including financial planning services, portfolio management for individuals and small businesses, pension consulting services, selection of other advisers and educational seminars. A financial advisor's fee schedules usually vary depending on the type of services provided. Fee types billed by Principal Securities, Inc most likely include asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 66, CERTIFIED FINANCIAL PLANNER™, Chartered Financial Consultant

Years Registered*

2 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

Loudonville, NY

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Principal Securities, Inc Brokerage Details

Total Assets Under Management

$9,416,854,861

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

1,430

NY Average: 166
Total Number of Accounts

46,075

NY Average: 7,189
Average Account Size

$204,381

NY 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

Lawrence Dillon Work History

Lawrence has been registered as a financial advisor for 2 years.*

2022 - Present (2 years)

Principal Life Insurance Company

2014 - Present (10 years)

Principal Securities Inc

2014 - 2016 (2 years)

Principal Life Insurance Company

2005 - 2014 (9 years)

Key Investment Services LLC

1988 - 2014 (26 years)

Keybank N.A

*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 Lawrence Dillon 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
William Daines
Tampa, FL
Michael Adelman
Des Moines, IA
Justin Terrell
Bethesda, MD
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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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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