Mary
Norton

Principal Securities, Inc

CRD#5972246
Investment Advisor
in Raleigh, NC

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About this Advisor

Mary Norton is a certified financial planner working out of Raleigh, North Carolina, with a total of 5 years of industry experience. Norton is an advisor for Principal Securities, Inc. Over the course of their career, Norton has held roles at Waddell & Reed, Inc, Various Insurance Carriers For W & R Insurance Agencies, Principal Life Insurance Company, Principal Securities Inc and Vesta Wealth Advisors. Norton maintains Series 63 and Series 65 licenses, designating them as both a securities agent and an investment advisor representative, and is approved to advise clients in North Carolina. Principal Securities, Inc is a financial advisory business that has its headquarters in Des Moines, IA. The company has offices in 350 locations and a total of 1,430 advisors. It controls $9 billion in assets under management among its 46,075 accounts, placing it among the biggest investment advisory firms in the nation by assets under management. The firm provides services to 34 charities and foundations. Of its 46,075 accounts, just 3% are associated with high-net-worth individuals who have greater than $1 million in assets. The firm performs a number 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 largely vary depending on which services the firm provides the client. Fee types charged by Principal Securities, Inc can be comprised of asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65, CERTIFIED FINANCIAL PLANNER™

Years Registered*

5 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

4141 Parklake Ave Ste 450
Raleigh, NC 27612

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Principal Securities, Inc Brokerage Details

Total Assets Under Management

$9,416,854,861

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

1,430

NC Average: 166
Total Number of Accounts

46,075

NC Average: 7,189
Average Account Size

$204,381

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

Mary Norton Work History

Mary has been registered as a financial advisor for 5 years.*

2020 - Present (4 years)

Vesta Wealth Advisors

2018 - Present (6 years)

Principal Securities Inc

2018 - 2022 (4 years)

Principal Life Insurance Company

2011 - 2018 (7 years)

Waddell & Reed, Inc

2011 - 2018 (7 years)

Various Insurance Carriers For W & R Insurance Agencies

*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 Mary Norton 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

Nicholas Albani
Tampa, FL
Meghan Mcguire
Denver, CO
Michael Hunt
Melville, NY
Janice Adams
Phoenix, AZ
Shawn Will
Raleigh, NC
Gabriela Heffernan
Costa Mesa, CA
William Daines
Tampa, FL
Alison White
Birmingham, AL

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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