Vernon
Maples

Principal Securities, Inc

CRD#867348
Investment Advisor
in Raleigh, NC
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About this Advisor

Vernon Maples is a financial advisor whose office is in Raleigh, North Carolina. Currently an advisor at Principal Securities, Inc, they have gathered an impressive 35 years of work experience. Maples holds Series 63 and Series 65 licenses, which qualify the advisor as both a securities agent and an investment advisor representative. Maples is able to work with investors based out of North Carolina. Maples has gained experience at Principal Life Insurance Company and Princor Financial Services Corporation. Principal Securities, Inc is based out of Raleigh, North Carolina, and has 354 additional brick-and-mortar locations across the United States. In total, Principal Securities, Inc manages $6 billion in assets throughout 28,235 client accounts and employs more than 1,687 people. The firm's total assets under management makes it one of the biggest firms in the United States. 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 advisor firm's clients are high-net-worth individuals, meaning they have over $1 million in capital. Principal Securities, Inc offers financial planning services, portfolio management for individuals and small businesses, selection of other advisers and educational seminars. The firm's fees may include asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Series 65, Chartered Financial Consultant

Years of Experience

35 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

Disclosures

No

Office Location

4141 Parklake Ave Ste 510
Raleigh, NC 27612

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Principal Securities, Inc Brokerage Details

Total Assets Under Management

$6,109,839,100

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

1,603

NC Average: 166
Total Number of Accounts

31,797

NC Average: 7,189
Average Account Size

$192,151

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

Vernon Maples Work History

Vernon has 35 years of experience.

1998 - Present (21 years)

Principal Life Insurance Company

1983 - Present (36 years)

Princor Financial Services Corporation

Disclosures

Vernon Maples has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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