John Pallaria is a CFP-designated registered investment advisor at Principal Securities, INC., based in Windham, NH, with 26 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
Windham, NH
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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 →Other Business Activities
John is an instructor for Kaplan Financial Services and Boston University, teaching financial planning, dedicating about 10-20% of his time. He also serves as a Director and President for the Cobbetts Pond Improvement Association, and as an instructor for Dalton Education LLC and Kaplan University, spending minimal time on each.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Principal Funds Distributor, INC.Broker
Adp Broker-Dealer, INC.Broker
Scudder Distributors, INC.Broker
Scudder Investor Services, INC.Broker
State Registrations28 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
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