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Mark Steven Feldman

Principal Securities, Inc.

New Smyrna Beach, FL

CRD 4872373

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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:

Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-07-13
  • FL RA
    APPROVED
    Since 2022-07-13

Branch Locations

New Smyrna Beach, FL • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mark Feldman Insurance New Smyrna Beach FL 03/2017 Present
Principal Securities Inc New Smyrna Beach FL 03/2016 Present
  • 03/2017 → Present
    Mark Feldman Insurance
    New Smyrna Beach, FL
  • 03/2016 → Present
    Principal Securities Inc
    New Smyrna Beach, FL
Other Businesses

Fixed Insurance, Life, DI, Annuities, Health, Dental, Supplemental, 12/15/15.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-07-01
S63 Uniform Securities Agent State Law Examination 2014-08-28
  • S65 Uniform Investment Adviser Law Examination
    2017-07-01
  • S63 Uniform Securities Agent State Law Examination
    2014-08-28

View on SEC IAPD

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