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ChFC

Presley Carter

Principal Securities, INC.
40 Years of Experience
Nashville, TN
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Presley Carter is a ChFC-designated registered investment advisor at Principal Securities, INC., based in Nashville, TN, with 40 years of industry experience. Presley 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

Nashville, TN

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History

Regulatory History (2)
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.
Judgment / Lien
August 2006
Judgment / Lien
February 2004
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Presley is a condo association board member and homeowners association board member. Presley also works as a broker and agent selling group annuities, SPIAs, and fixed annuities, dedicating a few hours per week to each activity.

Employment History
Current Registrations
Principal Securities, INC.
February 2006 - Present · 20 yrs 8 mos
Principal Securities, INC.Broker
January 2006 - Present · 20 yrs 9 mos
Previous Registrations
Princor Financial Services CorporationBroker
September 2004 - December 2005 · 1 yr 3 mos
Oneamerica Securities, INC.Broker
February 2003 - September 2004 · 1 yr 7 mos
Equity Services, INC.Broker
September 1996 - November 2002 · 6 yrs 2 mos
John Hancock Distributors, INC.Broker
October 1986 - February 1988 · 1 yr 4 mos
New York Life Securities CORP.Broker
October 1982 - September 1986 · 3 yrs 11 mos
The Paul Revere Variable Annuity Insurance CompanyBroker
August 1977 - October 1983 · 6 yrs 2 mos
Paul Revere Equity Sales Company (the)Broker
August 1977 - March 1978 · 7 mos
State Registrations5 states
CADEFLTNTX
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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