Westin James Kaser
Investment adviser representative at Principal Securities, Inc.
9 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
9 years in the industry.
- Principal Advised ServicesOct 2022 to now
- Principal Securities, Inc.Jul 2022 to now
- Principal Life Insurance CompanyJun 2022 to now
- LPL Financial LLCMay 2022 to Jun 2022
- UbereatsNov 2021 to Jun 2022
- Cuna Brokerage Services, Inc.Feb 2021 to Jun 2022
- Ascend FcuJun 2020 to Jun 2022
- Nolan Transportation GroupJan 2020 to May 2020
- Eastman Credit UnionMay 2017 to Jan 2020
- Raffaele's Italian RestaurantNov 2013 to May 2017
Exams passed
- Series 66 · Uniform Combined State Law2021
State registrations
Registered as an investment adviser representative in 2 states (TN, TX).
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
- 7328488
- Firm CRD
- 1137