Principal Securities, Inc

Investment Advisor
in Raleigh, NC
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About this Advisor

Mary Norton is a certified financial planner based in Raleigh, North Carolina, who has been in the industry for 10 years. Norton is currently employed by Principal Securities, Inc. Throughout their career, Norton has worked at Waddell & Reed, Inc, Various Insurance Carriers For W & R Insurance Agencies, Principal Securities Inc and Principal Life Insurance Company. Norton has Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and is registered to advise clients in North Carolina. Principal Securities, Inc is a financial advisory firm that has its headquarters in Raleigh, North Carolina. The firm has offices in 354 locations and a total of 1,687 advisors. It has $6 billion in assets across its 28,235 client accounts, making it one of the biggest investment advisory firms in the nation by assets under management. The firm provides financial advisory services to 30 charitable organizations. Of its 28,235 accounts, just 2% are associated with high-net-worth investors who have more than $1 million in investable assets. The advisory firm performs a wide range of services, such as financial planning services, portfolio management for individuals and small businesses, selection of other advisers and educational seminars. Financial advisory fee schedules depend on which services the firm provides the client. Fee types billed by Principal Securities, Inc likely include asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65, Certified Financial Planner

Years of Experience

10 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others



Office Location

4141 Parklake Ave Ste 510
Raleigh, NC 27612

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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

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers
  • Educational seminars/workshops

Mary Norton Work History

Mary has 10 years of experience.

2018 - Present (1 year)

Principal Securities Inc

2018 - Present (1 year)

Principal Life Insurance Company

2011 - 2018 (7 years)

Waddell & Reed, Inc

2011 - 2018 (7 years)

Various Insurance Carriers For W & R Insurance Agencies


Mary Norton has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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