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Tod Ross

Principal Securities, INC.
23 Years of Experience
Phoenix, AZ
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Tod Ross is a registered investment advisor at Principal Securities, INC., based in Phoenix, AZ, with 23 years of industry experience. Tod 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

2231 E Camelback Rd Ste 350, Phoenix, AZ, 85016

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History

Regulatory History (2)
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.
Financial
August 2024
Final
Criminal
February 1994
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Tod is a registered representative selling fixed insurance products including life, disability, annuities, long-term care, health, Medicare supplements, and group benefits. This activity takes a few hours per week.

Employment History
Current Registrations
Principal Securities, INC.
November 2023 - Present · 2 yrs 11 mos
Principal Securities, INC.Broker
March 2023 - Present · 3 yrs 7 mos
Previous Registrations
Principal Securities, INC.
March 2023 - August 2023 · 5 mos
Equitable Advisors, LLC
February 2022 - March 2023 · 1 yr 1 mo
Equitable Advisors, LLCBroker
January 2022 - March 2023 · 1 yr 2 mos
Allstate Financial Advisors, LLC
November 2019 - February 2022 · 2 yrs 3 mos
Allstate Financial Services, LLCBroker
November 2019 - February 2022 · 2 yrs 3 mos
Primerica Advisors
July 2011 - November 2019 · 8 yrs 4 mos
PFS Investments INC.Broker
January 2006 - November 2019 · 13 yrs 10 mos
PFS Investments INC.Broker
May 2002 - March 2005 · 2 yrs 10 mos
State Registrations15 states
ARAZCACOFLGAMONCNMNVOHSCTXVAWI
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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