Frank Pugliese

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

• 08/2011 → 03/2017
  Metlife Securities Inc.
  Mount Pleasant, SC
• 03/2017 → 10/2018
  Mml Investors Services, Llc
  Charleston, SC
• 07/2016 → 10/2018
  Massmutual Life Insurance Company
  Charleston, SC
• 10/2018 → Present
  Principal Life Insurance Company
  Mt Pleasant, SC
• 10/2018 → Present
  Principal Securities Inc
  Mt Pleasant, SC
• 10/2018 → Present
  Trinity Wealth Partners
  Mt. Pleasant, SC

Previous Registrations

• 2017-03-25 → 2018-10-16
  Mml Investors Services, Llc
  North Charleston, SC
  Charleston, SC
  Charleston, SC
• 2017-02-22 → 2017-03-25
  Msi Financial Services, Inc.
  Charlotte, NC
  Mount Pleasant, SC
  Atlanta, GA
  North Charleston, SC
  Charleston, SC

Other Businesses

***Trinity Wealth Partners; Not Investment Related; Mt Pleasant, SC; Owner; name used or marketing no products sold through DBA; Start Date: 10/17/2019; 160 hrs per month; 160 during trading hours. ***Fixed Insurance; Investment Related; Mt Pleasant, SC; Agent; Group Benefits; Start Date: 10/14/2019; 8 hrs per month; 8 during trading hours.

Exams

• S66 Uniform Combined State Law Examination
  2017-01-30
• S63 Uniform Securities Agent State Law Examination
  2011-06-10

Other Names

• Frank Pugliese
• Frank A Pugliese
• Frank Anthony Pugliese