Principal Securities, Inc

Investment Advisor
in Raleigh, NC
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About this Advisor

Richard Harris is a chartered financial consultant based out of Raleigh, North Carolina, with a total of 28 years of professional experience. Harris is an advisor for Principal Securities, Inc. Over the course of their career, they have held roles at Princor Financial Services Corporation, Principal Life Insurance Co, Elite Executive Benefits and Mid Atlantic Executive Benefits. Harris maintains Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and can advise clients in North Carolina. Principal Securities, Inc is a registered investment business headquartered in Raleigh, North Carolina. It has offices in 354 locations and a total of 1,687 financial advisors. It oversees $6 billion in assets under management across its 28,235 accounts, making it one of the biggest financial advisory firms in the country by assets under management. The firm advises 30 charitable organizations. Of its 28,235 customer accounts, just 2% belong to high-net-worth individuals who have more than $1 million in assets. The company offers a broad array of services, such as financial planning services, portfolio management for individuals and small businesses, selection of other advisers and educational seminars. Fees for financial advisory services are based on which services are offered. Fee types charged by Principal Securities, Inc can include asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65, Chartered Financial Consultant

Years of Experience

28 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

Richard Harris Work History

Richard has 28 years of experience.

2009 - Present (10 years)

Mid Atlantic Executive Benefits

1991 - Present (28 years)

Princor Financial Services Corporation

1990 - Present (29 years)

Principal Life Insurance Co

2009 - 2009 (< 1 year)

Elite Executive Benefits


Richard Harris has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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