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Julio Guemes

Principal Securities, INC.
12 Years of Experience
Orlando, FL
1 DisclosureBroker
View SEC Summary
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Julio Guemes is a registered investment advisor at Principal Securities, INC., based in Orlando, FL, with 12 years of industry experience. Julio 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
—
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Location

Orlando, FL

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History

Regulatory History (1)
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Financial
April 2020
Pending
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Julio is involved with SJShades, LLC, a window treatment business, since May 2024. This activity is not investment-related and requires minimal time.

Employment History
Current Registrations
Principal Securities, INC.
April 2026 - Present · 6 mos
Principal Securities, INC.Broker
March 2026 - Present · 7 mos
Previous Registrations
Park Avenue Securities LLC
June 2020 - March 2026 · 5 yrs 9 mos
Park Avenue Securities LLCBroker
June 2020 - March 2026 · 5 yrs 9 mos
Ameriprise Financial Services, INC.
October 2019 - December 2019 · 2 mos
Ameriprise Financial Services, INC.Broker
October 2019 - December 2019 · 2 mos
Wells Fargo Clearing Services, LLC
February 2015 - October 2019 · 4 yrs 8 mos
Wells Fargo Clearing Services, LLCBroker
January 2014 - October 2019 · 5 yrs 9 mos
State Registrations2 states
CAFL
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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