Principal Securities, Inc

Investment Advisor
in Concord, NC

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About this Advisor

Marc Shepherd is a financial advisor working in Concord, North Carolina with a total of 4 years of industry experience. Shepherd is currently employed by Principal Securities, Inc. Their career trajectory has included roles at Massachusetts Mutual Life Insurance Co, Mml Investors Services LLC, Suntrust Bank, Principal Life Insurance Company, Principal Securities Inc, Union Financial, Inc and Optima Financial Services. Shepherd maintains Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is able to serve investors in North Carolina. Principal Securities, Inc is a firm that has its headquarters in Des Moines, IA. The firm has offices in 350 locations and a total of 1,430 advisors. It handles $9 billion in total assets across its 46,075 accounts, making it one of the largest financial advisory firms in the country by assets under management. The firm advises 34 charities and foundations. Of its 46,075 accounts, just 3% belong to high-net-worth clients who have at least $1 million in assets. Principal Securities, Inc offers a broad assortment 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 fees largely depend on which services are offered. However, fee types charged by Principal Securities, Inc most likely include any blend of asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65

Years Registered*

4 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

656 Poplar View Dr Nw
Concord, NC 28027

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Principal Securities, Inc Brokerage Details

Total Assets Under Management


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


NC Average: 166
Total Number of Accounts


NC Average: 7,189
Average Account Size


NC 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

Marc Shepherd Work History

Marc has been registered as a financial advisor for 4 years.*

2021 - Present (2 years)

Union Financial, Inc

2020 - Present (3 years)

Optima Financial Services

2019 - Present (4 years)

Principal Life Insurance Company

2019 - Present (4 years)

Principal Securities Inc

2015 - 2019 (4 years)

Massachusetts Mutual Life Insurance Co

2015 - 2019 (4 years)

Mml Investors Services LLC

2010 - 2014 (4 years)

Suntrust Bank

*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.


Please visit the SEC profile of Marc Shepherd 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
William Daines
Tampa, FL
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

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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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