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ChFC
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ChFC

Ronald Piccinini

Principal Securities, INC.
36 Years of Experience
Tampa, FL
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Ronald Piccinini is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Tampa, FL, with 36 years of industry experience. Ronald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 51,941 clients with $17B in assets under management.

Principal Securities, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1709 advisors
Number of Clients
51,941 clients
Average Client Portfolio
$328K average
Assets Under Management
$17.0B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $150K1.75%
$150K - $250K1.75%
$250K - $500K1.75%
$500K - $1000K1.20%
$1M+1.10%

Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4830 W Kennedy Blvd, Ste 550, Tampa, FL, 33609

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Ronald is involved in outside insurance activities, selling fixed products, life, health, Medicare supplements, LTC, annuities, and DI. He also owns ROPA Financial Services, a Sub Chapter S Corp used to receive residual insurance commissions, dedicating minimal time to each activity.

Employment History
Current Registrations
Principal Securities, INC.
May 2013 - Present · 13 yrs 5 mos
Principal Securities, INC.Broker
April 2013 - Present · 13 yrs 6 mos
Previous Registrations
New England Securities Corporation
February 2009 - April 2013 · 4 yrs 2 mos
New England Securities Corporation
March 2004 - December 2008 · 4 yrs 9 mos
New England SecuritiesBroker
July 2002 - April 2013 · 10 yrs 9 mos
Mony Securities CorporationBroker
June 2000 - August 2002 · 2 yrs 2 mos
Nylife Securities INC.Broker
June 2000 - June 2000 · 0 mos
Metlife Securities INC.Broker
September 1988 - January 1999 · 10 yrs 4 mos
Metropolitan Life Insurance CompanyBroker
September 1988 - January 1999 · 10 yrs 4 mos
State Registrations19 states
ARAZCOCTDEFLILINMAMINENHNVOKORSCSDTXUT
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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