Stephen Lawrence Fee

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

• 02/2014 → 11/2019
  New York Life Insurance Company
  Tampa, FL
• 10/2019 → 08/2025
  New York Life Insurance Company
  Tampa, FL
• 02/2020 → 08/2025
  Nylife Securities Llc
  Tampa, FL
• 04/2021 → 11/2022
  Uber
  San Francisco, CA
• 08/2025 → Present
  Principal Life Insurance Company
  Tampa, FL
• 08/2025 → Present
  Principal Securities, Inc.
  Tampa, FL
• 10/2025 → Present
  Alpha Omega Legacy Wealth
  Tampa, FL

Other Businesses

Alpha Omega Legacy Wealth (DBA) POSITION: President/Managing Member NATURE: Insurance, investment, financial consulting, fee-based services INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 10/01/2025 ADDRESS: 4830 W Kennedy Blvd, Suite 550, Tampa FL 33609, United States DESCRIPTION: DBA is being established for marketing, liability protection, and tax advantages as outlined in the internal revenue code and Florida state statute. As president/managing member I will be responsible for all daily operations and activities in accordance with my Principal contract. Marketing, solicitation, and sales of all Principal and PPN approved products and services.

Exams

• S65 Uniform Investment Adviser Law Examination
  2025-09-17
• S63 Uniform Securities Agent State Law Examination
  2022-06-09