Stephen Walter Sawyer
Investment adviser representative at Principal Securities, Inc.
24 yearsExperience
1 stateRegistered in
$17BFirm assets
28 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat feeOther
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
- Seminars and workshops
Experience
24 years in the industry.
- Principal Securities, Inc.Jun 2026 to now
- Principal Life Insurance CompanyJun 2026 to now
- The Sawyer Group LLCOct 2002 to now
- Osaic Wealth, Inc.Jun 2024 to Jun 2026
- Securities America Advisors, Inc.Nov 2020 to Jun 2024
- Securities America, Inc.Nov 2020 to Jun 2024
- Kms Financial Services, Inc.Sep 2014 to Nov 2020
Exams passed
- Series 63 · Uniform Securities Agent State Law1994
- Series 65 · Uniform Investment Adviser Law2014
State registrations
Registered as an investment adviser representative in 1 state (MN).
Principal Securities, Inc.
$17BAssets managed
51,941Clients
1,464Advisers
28 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 2446579
- Firm CRD
- 1137