Mark B Avery

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2026-01-15
NY	RA	APPROVED	2021-06-30

TX RA
APPROVED_RES

Since 2026-01-15
NY RA
APPROVED

Since 2021-06-30

Branch Locations

Fairport, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Life Ins Co	Fairport	NY	10/2009	Present
Cny Life Insurance Group	Syracuse	NY	12/2013	05/2017
Principal Securities Inc	Fairport	NY	03/2016	Present

10/2009 → Present

Principal Life Ins Co

Fairport, NY
12/2013 → 05/2017

Cny Life Insurance Group

Syracuse, NY
03/2016 → Present

Principal Securities Inc

Fairport, NY

Other Businesses

*Fixed Insurance, Life, Annuities, 6/23/16.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2009-03-24

S63 Uniform Securities Agent State Law Examination

2009-03-24

Other Names

Mark Avery

View on SEC IAPD