TrueAdvisor
TrueAdvisor
SD
SD

Steven Dzvonick

Principal Securities, INC.
34 Years of Experience
Sewickley, PA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Steven Dzvonick is a registered investment advisor at Principal Securities, INC., based in Sewickley, PA, with 34 years of industry experience. Steven 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

2100 Georgetown Dr Ste 100, Sewickley, PA, 15143

Get directions

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
November 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Steven receives vested trail renewal income from Allmerica/Commonwealth life insurance policies since 2010, dedicating a few hours per week to this activity. He also works with Fixed Insurance selling life, disability, long-term care, annuities, group, and supplemental insurance, dedicating minimal time to this activity.

Employment History
Current Registrations
Principal Securities, INC.
September 2005 - Present · 21 yrs 1 mo
Principal Securities, INC.Broker
December 2003 - Present · 22 yrs 10 mos
Previous Registrations
Veravest Investment Advisors, INC.
June 2002 - December 2003 · 1 yr 6 mos
Veravest Investments, INC.Broker
September 1992 - December 2003 · 11 yrs 3 mos
State Registrations16 states
CODEFLGAINMAMDNCNYOHORPASCVAWIWV
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.
More Advisors
More financial advisors in Sewickley, PA →All financial advisors in Pennsylvania →