Kevin Suen

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

• 07/2011 → 12/2018
  Principal Financial Group
  Costa Mesa, CA
• 01/2019 → 11/2019
  American Funds
  Los Angeles, CA
• 05/2020 → 02/2022
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Ontario, CA
• 11/2019 → 05/2020
  Unemployed
  Rockville, MD
• 02/2022 → 02/2026
  Fidelity Investments
  El Segundo, CA
• 03/2025 → 02/2026
  Fidelity Investments
  Boston, MA
• 02/2026 → Present
  Principal Life Insurance Company
  Des Moines, IA
• 02/2026 → Present
  Principal Securities Inc
  Des Moines, IA

Previous Registrations

• 2025-03-31 → 2026-02-20
  Strategic Advisers Llc
  Irvine, CA
  Boston, MA
• 2022-03-29 → 2025-03-31
  Fidelity Personal And Workplace Advisors
  Boston, MA
  Hermosa Beach, CA
  Irvine, CA
• 2020-05-08 → 2022-02-28
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Leawood, KS
  Ontario, CA
• 2019-01-15 → 2019-11-18
  Capital Client Group, Inc.
  Los Angeles, CA
• 2011-09-07 → 2019-01-02
  Principal Securities, Inc.
  Costa Mesa, CA
  Bethesda, MD
  Des Moines, IA
  Bethesda, MD

Exams

• S66 Uniform Combined State Law Examination
  2011-03-25

Other Names

• Kevin Suen
• Kevin Kai Peng Suen