Felipe Rivas
Investment adviser representative at Principal Securities, Inc.
10 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
10 years in the industry.
- Principal Securities, Inc.Dec 2025 to now
- Principal Life Insurance CompanyDec 2025 to now
- W&s Brokerage Services, IncAug 2025 to Dec 2025
- Western & Southern LifeMar 2025 to Dec 2025
- Adp, IncAug 2021 to Mar 2025
- Capital Analytics AssociatesSep 2019 to Aug 2021
- The Miami TimesMay 2018 to Aug 2019
- UnemployedOct 2017 to May 2018
- Miami Dade County Parks and RecreationAug 2015 to Oct 2017
Exams passed
- Series 63 · Uniform Securities Agent State Law2025
- Series 66 · Uniform Combined State Law2026
State registrations
Registered as an investment adviser representative in 2 states (GA, 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
- 8144915
- Firm CRD
- 1137