Kevin Suen
Investment adviser representative at Principal Securities, Inc.
15 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
15 years in the industry.
- Principal Securities, Inc.Feb 2026 to now
- Principal Life Insurance CompanyFeb 2026 to now
- Fidelity InvestmentsFeb 2022 to Feb 2026
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2020 to Feb 2022
- UnemployedNov 2019 to May 2020
- American FundsJan 2019 to Nov 2019
- Principal Financial GroupJul 2011 to Dec 2018
Exams passed
- Series 66 · Uniform Combined State Law2011
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
- 5545033
- Firm CRD
- 1137