Norman Pierce
Norman Pierce is a registered investment advisor at Principal Securities, INC., based in Charlotte, NC, with 24 years of industry experience. Norman 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
401 McCullough Dr Ste 200, Charlotte, NC, 28262
Get directionsHistory
Regulatory History (2)
Criminal
November 2002Criminal
August 2001Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Transamerica Retirement Advisors, LLC
Transamerica Investors Securities CorporationBroker
Nationwide Investment Advisors, LLC
Nationwide Investment Services CorporationBroker
NFP Advisor Services, LLCBroker
Oneamerica Securities, INC.Broker
MML Investors Services, INC.Broker
Princor Financial Services CorporationBroker
State Registrations2 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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