NP
Norman F. Pierce
PRINCIPAL SECURITIES
Charlotte, NC
Some features on this profile are disabled
CRD#: 4330297
NP
Professional summary
Norman Frank Pierce, who also goes by Norman Pierce, is a registered financial advisor currently at PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.
Norman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Norman has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Norman Pierce
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Freelance Commercial Writer. The business is not investment related. Address is 8635 Carolina Lily Ln Charlotte, NC 28262 The business will offer blog posts, newsletter, and web copy services to businesses. Position: Sole proprietor, president, commercial writer. Title: Sole proprietor, president, commercial writer. Start date: 7/25/2022 Hours per month: 40 Number of hours during securities trading hours: 0 Description of business: I will market and sell my writing services to businesses. This will primarily be done through a personal website and through Upwork. The final product will not have my name attached to it.
CRS (Client Relationship Summary) - RIA
Click below to view Norman Frank Pierce's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Norman Frank Pierce's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
August 22, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #2: 401 Mccullough Dr Ste 200, Charlotte, NC 28262RIA
BD
CRD#: 1137
Charlotte, NC
Current
August 15, 2023 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262RIA
BD
CRD#: 1137
Charlotte, NC
Past
September 3, 2019 - July 13, 2023
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Charlotte, NC
Past
May 29, 2018 - July 13, 2023
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
HARRISON, NY
Past
October 22, 2015 - September 11, 2017
NATIONWIDE INVESTMENT ADVISORS, LLC
RIA
CRD#: 142373
COLUMBUS, OH
Past
June 1, 2015 - September 11, 2017
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, OH
Past
March 14, 2014 - February 5, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
CHARLOTTE, NC
Past
January 31, 2007 - September 19, 2013
ONEAMERICA SECURITIES, INC.
BD
CRD#: 4173
INDIANAPOLIS, IN
Past
April 7, 2006 - January 22, 2007
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
GRENSBORO, NC
Past
January 22, 2001 - April 6, 2006
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
GREENSBORO, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
North Carolina(8/17/2023)
IAR
North Carolina(8/22/2023)
RR
South Carolina(9/19/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PRINCIPAL SECURITIES, INC.
BLC EQUITY SERVICES CORPORATION | PRINCOR FINANCIAL/ SERVICES CORPORATION | PRINCOR FINANCIAL SERVICES CORPORATION | PRINCIPAL SECURITIES, INC. | PRINCIPAL FINANCIAL SERVICES CORPORATION
CRD#: 1137 / SEC#: 801-54949, 8-13975
RIA
Registered Investment Advisory firm - SEC (10/10/1997 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
711 High Street, Des Moines, IA 50392
Mailing Address
Principal Financial Group 711 High Street, Des Moines, IA 50392-2080
Phone number
(888) 774-6267
Established
Iowa since 05/01/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
1,436
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
