Stephen RoeCRD 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.
Cambridge Investment Research Advisors, Inc.
Moloney Securities Asset Management LLC
|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|
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
Total Assets Under Management1,916MILLIONS
Total Number of Accounts17,630ACCOUNTS
Average Account Value$108,691
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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