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Allan Zucker

Principal Securities, INC.
16 Years of Experience
Delray Beach, FL
1 DisclosureBroker
View SEC Summary
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Allan Zucker is a registered investment advisor at Principal Securities, INC., based in Delray Beach, FL, with 16 years of industry experience. Allan 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

Delray Beach, FL

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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.
Customer Dispute
April 2019
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Allan works as a financial advisor for PPN Business. This activity is investment-related and requires minimal time.

Employment History
Current Registrations
Principal Securities, INC.
January 2025 - Present · 1 yr 9 mos
Principal Securities, INC.Broker
January 2025 - Present · 1 yr 9 mos
Previous Registrations
MML Investors Services, LLC
October 2022 - January 2025 · 2 yrs 3 mos
MML Investors Services, LLCBroker
October 2022 - January 2025 · 2 yrs 3 mos
Prudential Financial Planning Services
June 2018 - October 2022 · 4 yrs 4 mos
Pruco Securities, LLC.Broker
June 2018 - October 2022 · 4 yrs 4 mos
MML Investors Services, LLC
April 2015 - June 2018 · 3 yrs 2 mos
MML Investors Services, LLCBroker
January 2015 - June 2018 · 3 yrs 5 mos
Northwestern Mutual Investment Services, LLCBroker
September 2011 - April 2012 · 7 mos
Carillon Investments, INC.Broker
April 2001 - April 2002 · 1 yr
New England SecuritiesBroker
November 1999 - April 2001 · 1 yr 5 mos
MML Investors Services, INC.Broker
July 1999 - November 1999 · 4 mos
1717 Capital Management CompanyBroker
January 1999 - June 1999 · 5 mos
Nylife Securities INC.Broker
May 1998 - January 1999 · 8 mos
State Registrations2 states
FLSC
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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