Andrew David Miner

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

• 11/2013 → 03/2022
  Commonwealth Financial Network
  Waltham, MA
• 05/2022 → 09/2023
  M Holdings Securities, Inc.
  Portland, OR
• 03/2022 → 05/2022
  Curate Partners
  Woburn, MA
• 09/2023 → Present
  Principal Securities
  Portland, ME
• 09/2023 → Present
  Principal Life Insurance Co
  Des Moines, IA

Previous Registrations

• 2022-06-02 → 2023-09-14
  M Holdings Securities, Inc.
  Portland, ME
  Portland, OR
• 2016-01-20 → 2022-03-21
  Commonwealth Financial Network
  Waltham, MA

Other Businesses

**LOCKWOOD VOICES, LLC POSITION: Treasurer NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/31/2024 ADDRESS: 34 Meadow Ln, Portland ME 04103, United States DESCRIPTION: My wife is a voice actor and this LLC was created to facilitate her work. She wishes to list me as an officer should I need to help her with taxes. I am not compensated for this role in any way and have no authority or "vote" within the entity. **LEISURE TIME COCKTAIL COMPANY, LLC POSITION: Subscriber/Investor NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/31/2025 ADDRESS: 169 Walnut St, South Portland ME 04106, United States DESCRIPTION: Investment with expectation of minority ownership in canning/cocktail business. No active employment or control/officer authority. Will not be a controlling shareholder.

Exams

• S66 Uniform Combined State Law Examination
  2014-09-18