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Austin Joseph Smith

Principal Securities, Inc.

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About Austin Joseph Smith

Austin Joseph Smith is a registered representative at Principal Securities, Inc. based in Mooresville, NC. Austin Joseph Smith has been in the securities industry for over 3 years. Austin Joseph Smith has passed the Series 66 exam and is currently registered as a Registered Representative in NC. Austin Joseph Smith offers financial planning, portfolio management, and pension consulting services to individuals and businesses. In addition to their role at Principal Securities, Inc., Austin Joseph Smith also provides financial services through Smith Financial Corp. as an advisor for DI/A&H Insurance, Group/Health Insurance, Life Insurance/Annuities, Mutual Funds/Securities/ VA / VL, and Securities Products.

Firm Information

Austin Smith is currently registered with Principal Securities, Inc.. Principal Securities, Inc. is a corporation founded in May 1968 with its main office in Des Moines, Iowa. The firm offers financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for individuals. They have a wrap fee program and serve various client types, including individuals, corporations, charitable organizations, and pension plans. Principal Securities, Inc. has been registered with the SEC and in all 50 states plus Puerto Rico.
Principal Securities, Inc.

711 HIGH STREET

DES MOINES, IA 50392

$12.11B

Assets Under Management

1,153

Total Clients

2,140

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Seminar fees, solicitors fees, subscription consulting fees

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Austin Smith’s Registration & Firm History

NC

01/21/2025 - Present

Principal Securities, Inc. (MOORESVILLE NC)

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Licenses & Designations

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Austin Joseph Smith.
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