Brian M Howarth

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

• 01/2010 → Present
  Principal Life Insurance Company
  Encinitas, CA
• 03/2016 → Present
  Principal Securities Inc
  Encinitas, CA

Other Businesses

ALPHASIGHTS POSITION: Short term consulting NATURE: Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 1675 Noma Lane, Encinitas CA 92024, United States DESCRIPTION: Note to me from company "I do want to ensure you I wouldn't be able to reach out in the first place if there were any conflicts of interest to you participating in this project. We have a legal framework we require all advisors and clients to agree to prior to any calls to make sure that we do not put either party into any situation that could be considered a conflict of interest. In this vein, we ask you not to give any confidential information and not to talk about your current employer - the discussion would be regarding industry-level knowledge and trends. Wanted to clarify as this is very important to us as well!"

Exams

• S66 Uniform Combined State Law Examination
  2010-02-12