Stephen Parker Clapp

Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

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

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

Current Employers

Employment History

• 11/2010 → 11/2016
  Wells Fargo Advisors Llc
  Charlotte, NC
• 11/2016 → 02/2023
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
• 02/2023 → 08/2024
  Fidelity Investments
  Jacksonville, FL
• 08/2024 → Present
  Principal Life Insurance Company
  Fernandina Beach, FL
• 08/2024 → Present
  Principal Securities, Inc.
  Fernandina Beach, FL
• 08/2024 → Present
  Principal Advised Services
  Fernandina Beach, FL

Previous Registrations

• 2023-05-01 → 2024-08-09
  Fidelity Personal And Workplace Advisors
  Jacksonville, FL
• 2012-06-04 → 2023-02-16
  Wells Fargo Clearing Services, Llc
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Charlotte, NC
  Davidson, NC
• 2002-12-17 → 2003-02-06
  Ameriprise Financial Services, Llc
  Charlotte, NC

Other Businesses

**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 09/23/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: 1. As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: AVP-ADVICE, Education and Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 08/19/2024 ADDRESS: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Principal Role includes accountability for sales of bank deposit products.

Exams

• S66 Uniform Combined State Law Examination
  2012-06-02