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Garrick Scot Sasa

Principal Securities, Inc.

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About Garrick Scot Sasa

Garrick Sasa has been a registered advisor since 2008. Garrick is currently registered with Principal Securities, Inc., and has previous experience with U.S. Bancorp Investments, Inc., LPL Financial LLC, Wells Fargo Clearing Services, LLC and Edward Jones. Garrick Sasa is licensed in Colorado and Iowa. Garrick Sasa's professional experience includes expertise in retirement planning, portfolio management, and financial planning. Garrick Sasa's specializations include, but are not limited to, securities, insurance, and mutual funds.

Firm Information

Garrick Sasa 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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Garrick Sasa’s Registration & Firm History

CO

07/21/2022 - Present

Principal Securities, Inc. (ARVADA CO)

CO

05/22/2018 - 06/16/2022

U.S. BANCORP INVESTMENTS, INC. (EVERGREEN CO)

CO

03/06/2017 - 05/24/2018

LPL FINANCIAL LLC (BROOMFIELD CO)

CO

04/20/2011 - 03/06/2017

WELLS FARGO CLEARING SERVICES, LLC (LAKEWOOD CO)

CO

03/20/2008 - 04/29/2010

EDWARD JONES (ARVADA CO)

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Licenses & Designations

BOTH

Issued 03/06/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/22/2008

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Garrick Scot Sasa. Review regulatory record here.
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