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Mario Anthony Rector

Principal Securities, Inc.

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About Mario Anthony Rector

Mario Anthony Rector is a registered investment advisor representative with Principal Securities, Inc.. Mario Rector has been in the industry since July 5, 2021 and has successfully completed the General Securities Representative Examination (Series 7), the Securities Industry Essentials Examination (SIE) and the Uniform Combined State Law Examination (Series 66). Mario Rector offers financial planning services. Mario Rector is licensed in the following states: Colorado, Connecticut, Maine, Maryland, Massachusetts, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Rhode Island and Vermont.

Firm Information

Mario Rector 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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Mario Rector’s Registration & Firm History

NY

10/18/2021 - Present

Principal Securities, Inc. (CLAY NY)

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Licenses & Designations

BOTH

Issued 10/02/2021

Series 66 - Uniform Combined State Law Examination

BC

Issued 07/06/2021

Series 7TO - General Securities Representative Examination

BC

Issued 03/20/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mario Anthony Rector.
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