Kevin Smith
Kevin Smith is a registered investment advisor at Principal Securities, INC., based in Montezuma, IA, with 22 years of industry experience. Kevin 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
Montezuma, IA
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2015Other Business ActivitiesSells Insurance
Kevin restores and sells old Mustangs, and owns rental property. He also sells fixed insurance, annuities, life, long-term care, and disability insurance products.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Mwa Financial Services, INC.
Mwa Financial Services INC.Broker
State Registrations16 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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