Austin Joseph Smith
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.
- Smith Financial Corp.Feb 2025 to now
- Principal Securities, Inc.Nov 2024 to now
- Principal Life Insurance CoOct 2024 to now
- American ExpressDec 2022 to Oct 2024
- Mthree ConsultingAug 2021 to Dec 2022
- University of North Carolina At CharlotteAug 2017 to May 2021
- North Harbor ClubFeb 2017 to Jun 2017
- Dunkin DonutsMay 2016 to Nov 2016
- Lake Norman High SchoolAug 2014 to May 2017
Exams passed
- Series 66 · Uniform Combined State Law2025
State registrations
Registered as an investment adviser representative in 1 state (NC).
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
- 8003787
- Firm CRD
- 1137