Austin Joseph Smith
Investment Adviser Representative at Principal Securities, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Austin Joseph Smith is an investment adviser representative with Principal Securities, Inc. in Mooresville, NC, where they have been registered since 2025. They have worked in the securities industry since 2024. They have passed 3 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent) and Series 7 (general securities representative). They are registered to provide investment advice in North Carolina.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- North Carolina
- Broker:
5 states and territories
Georgia, Indiana, North Carolina, South Carolina, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Mthree ConsultingAug 2021 – Dec 2022Hoboken, NJ
- American ExpressDec 2022 – Oct 2024New York, NY
- Principal LIFE Insurance CoOct 2024 – no end date reportedMooresville, NC
- Principal Securities IncNov 2024 – no end date reportedMooresville, NC
- University of North Carolina at CharlotteAug 2017 – May 2021Charlotte, NC
- Dunkin DonutsMay 2016 – Nov 2016Davidson, NC
- North Harbor ClubFeb 2017 – Jun 2017Davidson, NC
- Lake Norman High SchoolAug 2014 – May 2017Mooresville, NC
- Smith Financial Corp.Feb 2025 – no end date reportedMooresville, NC
Official records & sources
Data as of June 29, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Principal Securities, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$5B–$25B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,635
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Des Moines, IA
- SEC file number:
- 801-54949
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 30, 2026
View full firm profileOther advisors at Principal Securities, Inc.
Showing 12 of 1,635 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Austin Joseph Smith has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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