Alison Kline Smith

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2001 → Present
  Principal Securities Inc
  Wilton, CT
• 05/2001 → Present
  Principal Life Insurance Company
  Wilton, CT

Other Businesses

**AUTHOR, RELIGIOUS EDUCATION BOOKS, 3/27/14. **Co-Author, A Bite off the Blogs compilation cookbooks, 9/15/15. **Rental property, owns property rented to in-laws, 10/14/15. **Girl Scouts of CT; Not Investment Related; New York, NY; Troop Leader; fundraising, cookie sales, etc; Start Date: 09/01/2020; 5 hrs per month; 0 during trading hours. **Wilton Field Club dba Wildbloom; Not Investment Related; Wilton, CT; Director/Owner; Meetings outside of work hours that discuss what activities are happening, and ideas for what can be done do to achieve next goals. May have speaking role as there is marketing just to be a "face" on social media.; Start Date: 03/24/2021; 10 hrs per month; 0 during trading hours. **Westport Country Playhouse; Not Investment Related; Westport, CT; Board Member; Help with strategic planning and development; Start Date: 08/01/2021; 0 hrs per month; 0 during trading hours. **MS PRESIDENT US POSITION: Chapter Leader NATURE: Leader of Ms President US Wilton Chapter INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2022 ADDRESS: 180 School Road, Wilton CT 06897, United States DESCRIPTION: Ms President US is a non-partisan group designed to develop civic leadership and community engagement with young women 4-12 grade. As the Wilton Chapter Leader, I will facilitate speakers and flow of presentations once per month 8 months of the year. **TRACKSIDE TEEN CENTER POSITION: Board of Trustees Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2025 ADDRESS: 15 Station Road, Wilton CT 06897, United States DESCRIPTION: I will be serving as a member of the Board of Trustees for this not for profit in my town. The mission of the board is to create governance and support to the mission. This organization is a teen center for kids in middle school and high school. **THE UNQUOWA SCHOOL POSITION: Trustee of the Board of Directors NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 981 Stratfield Road, Fairfield CT 06825, United States DESCRIPTION: Member of the Board of Directors, monthly meetings, oversight of school mission.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-12-17
• S63 Uniform Securities Agent State Law Examination
  2001-08-02

Other Names

• Alison Catherine Kline
• Alison Catherine Smith
• Alison Kline Smith
• Alison Catherine Kline