Nicholas Pope, financial advisor Lansing MI
76 score

Nicholas Pope

CRD Number: 4468381
Current Firm: Principal Securities, Inc.

Nicholas Pope (CRD# 4468381) is an Investment Advisor Representative working at Principal Securities, Inc. in Lansing, MI and has over 15 years of experience in the finance industry. Nicholas Pope has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Washington Avenue Advisors East Lansing, MI Feb 2016 - Current < 1
The Centennial Group Lansing, MI May 2014 - Current 2
Principal Life Ins Co Lansing, MI Jan 2013 - Current 3
Princor Financial Services Corp Lansing, MI Jan 2013 - Current 3
Securian Financial Services St Paul, MN Nov 2001 - Jan 2013 11
Minnesota Life Ins Co St Paul, MN Nov 2001 - Jan 2013 11
Centennial Associates Inc. Lansing, MI Nov 2001 - Jan 2013 11
Centennial Employee Benefits Lansing, MI Jun 2002 - Dec 2007 5
Centennial Investment Planning Lansing, MI Jun 2002 - Apr 2007 4
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Nov 2001
S65 NASAA Investment Advisors Law Examination Apr 2003
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Civil Judgement
Get Details on the FINRA Advisor Check site
Contact Info for Nicholas B. Pope
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • MI
By the Numbers
  • Total Assets Under Management
    1,622
    MILLIONS
  • Total Number of Accounts
    15,486
    ACCOUNTS
  • Average Account Value
    $104,766
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
76

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