John Hopper is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Raleigh, NC, with 56 years of industry experience. John 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $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
Location
4141 Parklake Ave, Ste 450, Raleigh, NC, 27612
Get directionsHistory
Regulatory History
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.
Learn about disclosures →Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
On Investment Management CO
The O.N. Equity Sales CompanyBroker
Washington Square Securities, INC.
Washington Square Securities, INC.Broker
Integrated Resources Equity CorporationBroker
Lincoln Financial Advisors CorporationBroker
Lincoln National Pension Insurance CompanyBroker
The Lincoln National Life Insurance CompanyBroker
Connecticut Mutual Financial Services, INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations11 states
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
More Advisors
- David BelliaPrincipal Securities, INC.
- Jason Bowie, CFP, ChFCPrincipal Securities, INC.
- Charles Crews, CFPPrincipal Securities, INC.
- Vernon Maples, ChFCPrincipal Securities, INC.
- Randy See, CFPPrincipal Securities, INC.
- Craig Miller, CFPPrincipal Securities, INC.