Nicholas R Flatness
Investment adviser representative at Principal Securities, Inc.
12 yearsExperience
2 statesRegistered 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
12 years in the industry.
- Principal Securities, Inc.Feb 2020 to now
- Principal Life Insurance CompanyFeb 2020 to now
- Guardian Life Insurance CompanyNov 2017 to Feb 2020
- Park Avenue SecuritiesNov 2017 to Feb 2020
- MML Investors Services, LLCMar 2017 to Nov 2017
- Massachusetts Mutual Life Insurance CompanyJul 2016 to Nov 2017
- Metlife Securities IncJul 2014 to Mar 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2006
- Series 66 · Uniform Combined State Law2013
State registrations
Registered as an investment adviser representative in 2 states (MN, TX).
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
- 5141967
- Firm CRD
- 1137