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Current Employers
Principal Advised Services

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2025-07-31
NC RA APPROVED 2025-07-31
  • IA RA
    APPROVED
    Since 2025-07-31
  • NC RA
    APPROVED
    Since 2025-07-31

Branch Locations

401 Mccullough Dr Ste 200, Charlotte, NC 28262 • 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
Fairfax County Public Schools Fairfax VA 01/2013 05/2020
Virginia Polytechnic And State University Blacksburg VA 06/2020 05/2024
Lazy Dog Restaurant And Bar Fairfax VA 05/2020 10/2024
Ihop Centreville VA 05/2017 01/2019
Financial Growth Partners Reston VA 01/2024 01/2025
Park Avenue Securities Reston VA 01/2025 02/2025
Guardian Life Insurance Company Reston VA 01/2025 02/2025
Unemployed Fairfax VA 02/2025 04/2025
Associate Staffing Charlotte NC 04/2025 07/2025
Principal Securities, Inc. Charlotte NC 04/2025 Present
Principal Life Insurance Co Charlotte NC 07/2025 Present
Principal Advised Services Charlotte NC 07/2025 Present
  • 01/2013 → 05/2020
    Fairfax County Public Schools
    Fairfax, VA
  • 06/2020 → 05/2024
    Virginia Polytechnic And State University
    Blacksburg, VA
  • 05/2020 → 10/2024
    Lazy Dog Restaurant And Bar
    Fairfax, VA
  • 05/2017 → 01/2019
    Ihop
    Centreville, VA
  • 01/2024 → 01/2025
    Financial Growth Partners
    Reston, VA
  • 01/2025 → 02/2025
    Park Avenue Securities
    Reston, VA
  • 01/2025 → 02/2025
    Guardian Life Insurance Company
    Reston, VA
  • 02/2025 → 04/2025
    Unemployed
    Fairfax, VA
  • 04/2025 → 07/2025
    Associate Staffing
    Charlotte, NC
  • 04/2025 → Present
    Principal Securities, Inc.
    Charlotte, NC
  • 07/2025 → Present
    Principal Life Insurance Co
    Charlotte, NC
  • 07/2025 → Present
    Charlotte, NC
Other Businesses

**PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 07/21/2025 ADDRESS: 401 Mccullough Dr, Charlotte NC 28262, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: AVP- Advice, Education & Sales NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/21/2025 ADDRESS: 401 Mccullough Dr, Charlotte NC 28262, United States DESCRIPTION: Principal role includes accountability for sales of bank deposit products.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2025-07-07
  • S66 Uniform Combined State Law Examination
    2025-07-07
Other Names
  • Marcus James Stotts
  • Marcus Stotts

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