Charles Carlos Estes
Investment adviser representative at Principal Securities, Inc.
14 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
14 years in the industry.
- Principal Securities, Inc.Apr 2024 to now
- Principal Life Insurance CoApr 2024 to now
- Principal Funds Distributor, Inc.Mar 2021 to Apr 2024
- Buckingham PropertiesNov 2020 to Mar 2021
- Stancorp EntitiesFeb 2020 to Oct 2020
- Buckingham PropertiesNov 2018 to Feb 2020
- Fidelity Personal and Workplace AdvisorsJul 2018 to Nov 2018
- Fidelity Brokerage Services LLCAug 2012 to Nov 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2011
- Series 66 · Uniform Combined State Law2015
State registrations
Registered as an investment adviser representative in 1 state (OH).
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
- 5903937
- Firm CRD
- 1137