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Tonya Mathison

Principal Securities, INC.
27 Years of Experience
Plattsmouth, NE
1 DisclosureBroker
View SEC Summary
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Tonya Mathison is a registered investment advisor at Principal Securities, INC., based in Plattsmouth, NE, with 27 years of industry experience. Tonya 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

Plattsmouth, NE

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History

Regulatory History (1)
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Customer Dispute
July 2010
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tonya is a member of the Election Committee for the Beaver Lake Association, the homeowners association where she lives. This activity requires minimal time and is not investment-related.

Employment History
Current Registrations
Principal Securities, INC.
June 2012 - Present · 14 yrs 4 mos
Principal Securities, INC.
June 2012 - Present · 14 yrs 4 mos
Principal Securities, INC.Broker
June 2012 - Present · 14 yrs 4 mos
Previous Registrations
Transamerica Financial Advisors, INCBroker
February 2012 - April 2012 · 2 mos
Park Avenue Securities LLCBroker
July 2011 - January 2012 · 6 mos
Allstate Financial Services, LLCBroker
November 2008 - July 2011 · 2 yrs 8 mos
Strategic Wealth Advisors Group
May 2008 - December 2008 · 7 mos
Fsc Securities Corporation
April 2008 - November 2008 · 7 mos
Fsc Securities CorporationBroker
April 2008 - November 2008 · 7 mos
Goldstein Munger + Associates
January 2008 - April 2008 · 3 mos
MML Investors Services, INC.
March 2002 - October 2007 · 5 yrs 7 mos
MML Investors Services, INC.Broker
February 2002 - October 2007 · 5 yrs 8 mos
Financial Telesis INCBroker
October 2000 - June 2002 · 1 yr 8 mos
The Lincoln National Life Insurance CompanyBroker
July 1996 - June 1998 · 1 yr 11 mos
Lincoln Financial Advisors CorporationBroker
July 1996 - June 1998 · 1 yr 11 mos
State Registrations1 state
NE
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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Tonya Mathison - Financial Advisor | TrueAdvisor