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Tanner Smith

Principal Advised Services

Huntersville, NC

CRD 8280111

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Employer firm

Principal Advised Services CRD 297324

$1.42B regulatory AUM 16,537 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)

From the firm’s Form ADV. Read the guides:

Current Employers
Principal Advised Services

655 9Th Street, Des Moines, IA 50309 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2026-08-03
NC RA APPROVED 2026-08-03
  • IA RA
    APPROVED
    Since 2026-08-03
  • NC RA
    APPROVED
    Since 2026-08-03

Branch Locations

Huntersville, NC • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Self Employed Huntersville NC 01/2018 05/2026
Ithaca College Ithaca NY 08/2013 12/2017
Principal Life Insurance Company Charlotte NC 05/2026 Present
Principal Securities, Inc. Charlotte NC 05/2026 Present
Principal Advised Services Huntersville NC 07/2026 Present
  • 01/2018 → 05/2026
    Self Employed
    Huntersville, NC
  • 08/2013 → 12/2017
    Ithaca College
    Ithaca, NY
  • 05/2026 → Present
    Principal Life Insurance Company
    Charlotte, NC
  • 05/2026 → Present
    Principal Securities, Inc.
    Charlotte, NC
  • 07/2026 → Present
    Principal Advised Services
    Huntersville, NC
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2026-07-17
  • S66 Uniform Combined State Law Examination
    2026-07-17

View on SEC IAPD

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