Sara Mills-gaines
Investment adviser representative at Principal Securities, Inc.
10 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
10 years in the industry.
- Principal Securities, Inc.Jun 2024 to now
- Principal Life Insurance CompanyJun 2024 to now
- College of Marin - Transfer To Uc BerkeleyOct 2023 to now
- Poppy BankApr 2022 to Mar 2023
- Butcher Crown, LLCJan 2022 to Apr 2022
- Clubcorp Financial Management CompanySep 2021 to Mar 2022
- G2poMay 2021 to Jan 2022
- Parsonex SecuritiesDec 2019 to May 2021
- Flashbanc - CeleroJan 2019 to Apr 2024
- Fun Frame PhotoSep 2018 to Dec 2019
- UnemployedApr 2018 to Aug 2018
- Bank of America, N.A.May 2016 to Mar 2018
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2016 to Mar 2018
Exams passed
- Series 66 · Uniform Combined State Law2024
State registrations
Registered as an investment adviser representative in 1 state (CA).
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
- 5479702
- Firm CRD
- 1137