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Shaun Michael Dalton

Principal Securities, Inc.

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About Shaun Michael Dalton

Shaun Dalton is a financial advisor with Principal Securities, Inc. located in Lake Oswego, Oregon. Shaun has been in the financial industry since 2008 and has a wide range of experience in investment advising. Shaun is registered to provide investment advisory services in Oregon and Washington.

Firm Information

Shaun Dalton 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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Shaun Dalton’s Registration & Firm History

OR

09/20/2023 - Present

Principal Securities, Inc. (LAKE OSWEGO OR)

OR

02/06/2020 - 09/18/2023

PRUCO SECURITIES, LLC. (Lake Oswego OR)

OR

04/18/2016 - 02/07/2020

VALIC FINANCIAL ADVISORS, INC. (PORTLAND OR)

OR

03/17/2015 - 07/28/2015

WADDELL & REED (LAKE OSWEGO OR)

MN

06/05/2003 - 04/13/2005

AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)

MN

06/05/2003 - 04/13/2005

IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)

NY

11/27/2001 - 03/27/2002

WORLDCO, L.L.C. (NEW YORK NY)

NY

07/27/1999 - 05/01/2000

NDB CAPITAL MARKETS CORPORATION (NEW YORK NY)

NY

06/15/1998 - 07/06/1999

CATHAY FINANCIAL LLC (NEW YORK NY)

NY

01/16/1995 - 06/02/1998

BERNARD L. MADOFF (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 07/07/2015

Series 66 - Uniform Combined State Law Examination

IA

Issued 06/10/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 07/13/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/16/2015

Series 7 - General Securities Representative Examination

BC

Issued 08/26/1999

Series 55 - Limited Representative-Equity Trader Exam

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Shaun Michael Dalton. Review regulatory record here.
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