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CFP
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CFP

Todd Barden

Principal Securities, INC.
35 Years of Experience
Wauwatosa, WI
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Todd Barden is a CFP-designated registered investment advisor at Principal Securities, INC., based in Wauwatosa, WI, with 35 years of industry experience. Todd 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

10361 W Innovation Dr, Ste 300, Wauwatosa, WI, 53226

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History

Regulatory History (3)
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
March 2010
Settled
Customer Dispute
May 2001
Settled
Customer Dispute
January 1998
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Todd is an adjunct lecturer at Marquette University, discussing financial planning and investing, dedicating minimal time. He also sells fixed insurance products including fixed life, fixed annuities, disability insurance, long-term care, group benefits, health, and medical insurance.

Employment History
Current Registrations
Principal Securities, INC.
June 2023 - Present · 3 yrs 4 mos
Principal Securities, INC.Broker
June 2023 - Present · 3 yrs 4 mos
Previous Registrations
Morgan StanleyBroker
July 2016 - March 2023 · 6 yrs 8 mos
Morgan Stanley
July 2016 - March 2023 · 6 yrs 8 mos
UBS Financial Services INC.Broker
October 2011 - August 2016 · 4 yrs 10 mos
UBS Financial Services INC.
October 2011 - August 2016 · 4 yrs 10 mos
Raymond James & Associates, INC.Broker
January 2010 - October 2011 · 1 yr 9 mos
Raymond James & Associates, INC.
January 2010 - October 2011 · 1 yr 9 mos
Midwest Professional Planners, LTD.
January 2005 - December 2005 · 11 mos
AXA Advisors, LLC
April 2001 - January 2010 · 8 yrs 9 mos
AXA Advisors, LLCBroker
October 1990 - January 2010 · 19 yrs 3 mos
The Equitable Life Assurance Society of the United StatesBroker
October 1990 - January 2000 · 9 yrs 3 mos
State Registrations11 states
ALARAZCAFLGAILMNNYTXWI
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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