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WC
CFP · ChFC
WC
CFP · ChFC

William Congelio

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

William Congelio is a CFP, ChFC-designated registered investment advisor at Principal Securities, INC., based in Tampa, FL, with 31 years of industry experience. William 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.
Criminal
February 1973
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

William is the general manager and owner/partner of Willmac LLC, which sells group health, fixed life, disability insurance, fixed annuities, and long-term care through various carriers. This activity takes about half of William's time, with about a quarter of his time dedicated to securities trading.

Employment History
Current Registrations
Principal Securities, INC.
June 2013 - Present · 13 yrs 4 mos
Principal Securities, INC.Broker
June 2013 - Present · 13 yrs 4 mos
Previous Registrations
New England SecuritiesBroker
April 2002 - June 2013 · 11 yrs 2 mos
New England Securities Corporation
June 2000 - June 2013 · 13 yrs
Nylife Securities INC.Broker
June 1995 - April 2002 · 6 yrs 10 mos
State Registrations5 states
COFLGAPASC
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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