Randy See
Randy See is a CFP-designated registered investment advisor at Principal Securities, INC., based in Raleigh, NC, with 17 years of industry experience. Randy 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
4141 Parklake Ave, Ste 450, Raleigh, NC, 27612
Get directionsHistory
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 ActivitiesSells Insurance
Randy sells fixed life insurance, disability insurance, long-term care insurance, and fixed annuities through various carriers. He also operates Randy See Wealth Management as a DBA for his financial advisory practice, dedicating nearly full-time hours to selling insurance and securities-related products, as well as providing fee-based financial planning. Randy also has rental real estate and vehicle rental activities that take minimal time.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
State Farm Vp Management CORP.Broker
Princor Financial Services CorporationBroker
State Registrations22 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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