Stephen Roe, financial advisor Panora IA
86 score

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 33 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 6
Principal Life Des Moines, IA Jul 1998 - Current 19
Princor Financial Services Corporation Des Moines, IA Feb 1995 - Current 23
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, 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:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Stephen D. Roe
Phone Number: 888-774-6267
Firm Website: http://www.principal.com
Registered State(s):
  • IA
By the Numbers
  • Total Assets Under Management
    1,916
    MILLIONS
  • Total Number of Accounts
    17,630
    ACCOUNTS
  • Average Account Value
    $108,691
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, WY

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BADGES
86

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