Shannon L Richardson
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.Mar 2025 to now
- Principal Life Insurance CoDec 2024 to now
- UnemployedJul 2024 to Nov 2024
- Empower RetirementOct 2020 to Jul 2024
- Bank of America, N.A.Jun 2018 to Oct 2020
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedMay 2018 to Oct 2020
- Community Banks of Colorado, a Division of NbhMay 2014 to May 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2011
- Series 66 · Uniform Combined State Law2018
State registrations
Registered as an investment adviser representative in 2 states (CO, IA).
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
- 5732507
- Firm CRD
- 1137