Martha Nielsen
Martha Nielsen is a CFP-designated registered investment advisor at Principal Securities, INC., based in Latham, NY, with 33 years of industry experience. Martha 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
637 New Loudon Rd, Ste 1, Latham, NY, 12110
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
Martha is involved in outside insurance activities, including life insurance and fixed annuities, since 2014. The filing does not specify the amount of time Martha spends on this activity.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
Previous Registrations
Cetera Investment Services LLCBroker
Essex National Securities, INC.Broker
Isfa CorporationBroker
John Hancock Distributors, INC.Broker
John Hancock Mutual Life Insurance CompanyBroker
State Registrations10 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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