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Dean Estling

Principal Securities, INC.
35 Years of Experience
Chippewa Falls, WI
BrokerSells Insurance
View SEC Summary
View SEC Summary

Dean Estling is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Chippewa Falls, WI, with 35 years of industry experience. Dean 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

1650 Hallie Rd, Chippewa Falls, WI, 54729

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Dean owns 100% of AC&G Insurance and Investments, LLC since April 2023, selling various insurance products including life, medical, disability, annuities, and long-term care insurance. This takes about 10-20% of Dean's time.

Employment History
Current Registrations
Principal Securities, INC.
December 2002 - Present · 23 yrs 10 mos
Principal Securities, INC.
December 2002 - Present · 23 yrs 10 mos
Principal Securities, INC.Broker
December 2002 - Present · 23 yrs 10 mos
Previous Registrations
Locust Street Securities, INC.Broker
January 2002 - December 2002 · 11 mos
Bma Financial Services, INC.Broker
June 2001 - January 2002 · 7 mos
Lutheran Brotherhood Securities CORP.Broker
December 1999 - June 2001 · 1 yr 6 mos
The O.N. Equity Sales CompanyBroker
August 1997 - December 1999 · 2 yrs 4 mos
Sii Investments, INC.Broker
April 1995 - August 1997 · 2 yrs 4 mos
Securities America, INC.Broker
March 1991 - April 1995 · 4 yrs 1 mo
State Registrations8 states
AKFLIAMIMNOHSDWI
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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