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Dale Bartlett

Principal Securities, INC.
30 Years of Experience
Overland Park, KS
1 DisclosureBroker
View SEC Summary
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Dale Bartlett is a registered investment advisor at Principal Securities, INC., based in Overland Park, KS, with 30 years of industry experience. Dale 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

11101 Switzer Rd Ste 100, Overland Park, KS, 66210

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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.
Regulatory
March 2021
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Principal Securities, INC.Broker
August 2022 - Present · 4 yrs 2 mos
Principal Securities, INC.
August 2022 - Present · 4 yrs 2 mos
Previous Registrations
Northwestern Mutual Investment Services,llc
June 2020 - August 2022 · 2 yrs 2 mos
Northwestern Mutual Investment Services, LLCBroker
May 2020 - August 2022 · 2 yrs 3 mos
Oneamerica Securities, INC.
December 2017 - May 2020 · 2 yrs 5 mos
Oneamerica Securities, INC.Broker
December 2017 - May 2020 · 2 yrs 5 mos
MML Investors Services, LLC
March 2017 - May 2017 · 2 mos
MML Investors Services, LLCBroker
March 2017 - May 2017 · 2 mos
Msi Financial Services, INC.
October 2012 - March 2017 · 4 yrs 5 mos
Msi Financial Services, INC.Broker
October 2012 - March 2017 · 4 yrs 5 mos
New England Securities Corporation
August 2002 - January 2015 · 12 yrs 5 mos
New England SecuritiesBroker
July 2002 - January 2015 · 12 yrs 6 mos
Sunset Financial Services, INC.Broker
June 1998 - July 2002 · 4 yrs 1 mo
Nylife Securities INC.Broker
October 1996 - May 1998 · 1 yr 7 mos
Security First Financial, INC.Broker
September 1995 - October 1996 · 1 yr 1 mo
Security First Financial, INC.Broker
June 1995 - October 1996 · 1 yr 4 mos
State Registrations14 states
ARCOCTFLIAILKSMAMONEOKSCSDUT
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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