Principal Securities, Inc

Investment Advisor
in Raleigh, NC
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About this Advisor

Randy See is a certified financial planner based in Raleigh, North Carolina. Currently a registered investment advisor at Principal Securities, Inc, See has 12 years of experience in the financial advisory industry. See has a Series 66 license, certifying the advisor as both a securities agent and an investment advisor representative. See can work with clients in North Carolina. Their career trajectory has included roles at Principal Life Insurance Co, Princor Financial Services Corp, Bb & T, East Carolina University, State Farm Insurance-Agent Gary Elliott, State Farm Vp Management Corp, State Farm Insurance-Agent Chris Herrmann, Princor Financial Services Corporation and Principal Life Insurance Company. Principal Securities, Inc is based out of Raleigh, North Carolina, and operates out of 354 other brick-and-mortar locations in the nation. In total, Principal Securities, Inc oversees $6 billion in assets dispersed across 28,235 accounts and employs more than 1,687 people. The firm's total assets under management places it among the largest financial advisory firms in the nation. The firm manages 12,357 accounts on a discretionary basis, in which the advisor has the authority to make all investment decisions. Currently 2% of the firm's customers are high-net-worth individuals, meaning they have more than $1 million in assets. Principal Securities, Inc offers financial planning services, portfolio management for individuals and small businesses, selection of other advisers and educational seminars. The firm may charge clients asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 66, Certified Financial Planner

Years of Experience

12 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

Randy See Work History

Randy has 12 years of experience.

2013 - Present (6 years)

Mid Atlantic Executive Benefits

2009 - Present (10 years)

Princor Financial Services Corporation

2009 - Present (10 years)

Principal Life Insurance Company

2009 - 2009 (< 1 year)

State Farm Insurance-Agent Gary Elliott

2009 - 2009 (< 1 year)

State Farm Vp Management Corp

2009 - 2009 (< 1 year)

State Farm Insurance-Agent Chris Herrmann

2009 - 2009 (< 1 year)

State Farm Vp Management Corp

2008 - 2009 (1 year)

Principal Life Insurance Co

2008 - 2009 (1 year)

Princor Financial Services Corp

2007 - 2008 (1 year)

Bb & T

2006 - 2009 (3 years)

East Carolina University


Randy See has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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