Justin Garofalo
Investment adviser representative at Principal Securities, Inc.
12 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
12 years in the industry.
- Principal Securities, Inc.Apr 2019 to now
- Principal Life Insurance CompanyApr 2019 to now
- Mutual of Omaha Investor ServicesAug 2018 to Apr 2019
- Mutual of Omaha Insurance CompanyJul 2018 to Apr 2019
- Register Financial AdvisorsJun 2017 to Jul 2018
- Register Financial Associates, Inc.Jun 2017 to Jul 2018
- Bank of America, N.A.Jul 2014 to Jun 2017
- Merrill Lynch, Pierce, Fenner & Smith IncorporatedJul 2014 to Jun 2017
Exams passed
- Series 66 · Uniform Combined State Law2010
State registrations
Registered as an investment adviser representative in 1 state (GA).
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
- 5771472
- Firm CRD
- 1137