Stephen Roe, financial advisor Panora IA

Stephen Roe

CRD Number: 1341313
Current Firm: Principal Securities, Inc.

Stephen Roe (CRD# 1341313) is an Investment Advisor Representative working at Principal Securities, Inc. in Panora, IA and has over 39 years of experience in the finance industry.

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Professional Designations
Company Name Location Dates Years
Total Financial Solutions West Des Moines, IA Jul 2011 - Current 12
Principal Life Insurance Company Panora, IA Jul 1998 - Current 25
Principal Securities Inc. Panora, IA Feb 1995 - Current 29
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 1985
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Stephen D. Roe
Phone Number: 888-774-6267
Registered State(s):
  • IA
  • TX
By the Numbers
  • Total Assets Under Management
    9,417
    MILLIONS
  • Total Number of Accounts
    46,075
    ACCOUNTS
  • Average Account Value
    $204,381
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
  • Pension consulting services
  • 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, WY

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