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Matthew Uno

Principal Securities, INC.
12 Years of Experience
Roseville, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Matthew Uno is a registered investment advisor at Principal Securities, INC., based in Roseville, CA, with 12 years of industry experience. Matthew 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

2998 Douglas Blvd, Ste 330, Roseville, CA, 95661

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History

Regulatory History (1)
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
May 2018
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Matthew is involved in the sales and service of various insurance products, including fixed life, fixed annuities, disability insurance (DI), long-term care (LTC), property and casualty (P&C), health, and group benefits. This activity requires minimal time.

Employment History
Current Registrations
Principal Securities, INC.
April 2024 - Present · 2 yrs 6 mos
Principal Securities, INC.Broker
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Prudential Financial Planning Services
June 2021 - March 2024 · 2 yrs 9 mos
Pruco Securities, LLC.Broker
June 2021 - March 2024 · 2 yrs 9 mos
Mutual of Omaha Investor Services, INC.
September 2016 - May 2021 · 4 yrs 8 mos
Mutual of Omaha Investor Services, INC.Broker
September 2016 - May 2021 · 4 yrs 8 mos
Metlife Securities INC.
February 2015 - April 2016 · 1 yr 2 mos
Metlife Securities INC.Broker
February 2015 - April 2016 · 1 yr 2 mos
Edward Jones
April 2013 - September 2014 · 1 yr 5 mos
Edward JonesBroker
January 2013 - September 2014 · 1 yr 8 mos
State Registrations6 states
ARCACOFLHINE
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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