Stephen Walter Sawyer

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

• 10/2002 → Present
  The Sawyer Group Llc
  White Bear Lake, MN
• 09/2014 → 11/2020
  Kms Financial Services, Inc.
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  White Bear Lake, MN
• 11/2020 → 06/2024
  Securities America Advisors, Inc.
  White Bear Lake, MN
• 06/2024 → 06/2026
  Osaic Wealth, Inc.
  White Bear Lake, MN
• 06/2026 → Present
  Principal Life Insurance Company
  White Bear Lake, MN
• 06/2026 → Present
  Principal Securities, Inc.
  White Bear Lake, MN
• 07/2026 → Present
  The Sawyer Group
  White Bear Lake, MN

Previous Registrations

• 2024-06-14 → 2026-07-02
  Osaic Wealth, Inc.
  White Bear Lake, MN
• 2020-11-06 → 2024-06-14
  Securities America Advisors, Inc.
  White Bear Lake, MN
• 2014-11-07 → 2020-11-06
  Kms Financial Services, Inc.
  Seattle, WA
  White Bear Lake, MN
  Seattle, WA

Other Businesses

**FIXED INSURANCE POSITION: Registered Representative NATURE: Insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 6 START DATE: 07/01/2026 ADDRESS: 2630 arbor drive, white bear lake MN 55110, United States DESCRIPTION: Sales and service of outside fixed insurance including life. annuities, DI/A&H, LTC, health and group insurance. **THE SAWYER GROUP (DBA) POSITION: Registered Representative NATURE: Mutual Funds/Securities/ VA / VL INVESTMENT RELATED: Yes NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2026 ADDRESS: 2630 Arbor Drive, White Bear Lake MN 55110, United States DESCRIPTION: Selling of variable and fixed business, retirement plans, assisting clients with planning for their retirement, selling insurance, and annuities. **THE SAWYER GROUP LLC POSITION: Owner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 7 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2006 ADDRESS: 2630 Arbor Drive, White Bear Lake MN 55110, United States DESCRIPTION: Established for marketing purposes.

Exams

• S65 Uniform Investment Adviser Law Examination
  2014-11-07
• S63 Uniform Securities Agent State Law Examination
  1994-04-14

Other Names

• Steve Sawyer
• Stephen Walter Sawyer
• Stephen Sawyer