Mark
Pinnata

Principal Securities, Inc

CRD#2577802
Investment Advisor
in Hauppauge, NY

Answer a few questions and
get matched with an advisor.

Find an Advisor

About this Advisor

Mark Pinnata is a financial advisor working out of Hauppauge, New York with 2 years of relevant experience. Pinnata is currently employed by Principal Securities, Inc. During their career, Pinnata has held roles at Mark Pinnata, Princor Financial Services Corporation and Sfm Company. Pinnata maintains Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is able to advise clients in New York. Principal Securities, Inc is a registered investment firm that has its headquarters in Des Moines, IA. It 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 customer accounts, placing it among the biggest financial advisory firms in the country by assets under management. The firm provides financial advisory services to 34 charitable organizations. Of its 46,075 customer accounts, just 3% belong to high-net-worth investors who have more than $1 million in assets available to invest. 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. Fees for financial management are based on which services the firm provides the client. However, fees billed by Principal Securities, Inc most likely are comprised of asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65

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

527 Townline Rd Ste 204
Hauppauge, NY 11788

Not sure which advisor is right for you? Use our matching tool.

Our matching tool simplifies the process of finding a financial advisor. To match you with top financial advisors nearby, we ask you a series of questions about your retirement plans, life status, investment goals and advisor preferences, which are all important topics to consider when choosing a financial advisor. Based on that information, we match you with financial advisors near you who suit your needs. Our matching tool has connected more individuals with financial advisors than any other service in the U.S. Click here to get matched with an advisor today.

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

Mark Pinnata Work History

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

2007 - Present (17 years)

Princor Financial Services Corporation

1999 - Present (25 years)

Sfm Company

1995 - Present (29 years)

Mark Pinnata

*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 Mark Pinnata 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

Michael Adelman
Des Moines, IA
Paige Lewis
Seattle, WA
Conrad Beeler
Lansing, MI
Benjamin Eichler
Williamston, MI
John Pettit
Puyallup, WA
James Henry
Wdm, IA
Craig Forster
Arlington, TX
Justin Terrell
Bethesda, MD

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.

The named financial professional and firm have not reviewed, approved, or endorsed this profile and are not responsible for its accuracy. Profile content is produced by SmartAsset independently of any business relationships that might exist between SmartAsset and the named financial professional and firm. Financial professionals and firms having business relationships with SmartAsset receive no special treatment or consideration in SmartAsset’s profiles.

This profile may include a firm or advisor that has a business relationship with SmartAsset, in which SmartAsset is compensated for lead referrals. SmartAsset is not a client of the aforementioned firms or advisors. SmartAsset did not receive compensation for including any of the firms or advisors in the aforementioned profile.

This page contains links to SmartAsset’s financial advisor matching tool, which may or may not match you with the advisor or firm mentioned in this profile. The matching tool does not include all available advisors and firms and matches based on specific criteria (investable assets, geography, and willingness to work with a remote advisor).

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.

Let us help match you with the right financial advisor for your needs.

Answer a few questions to get a personalized match.
Get started