Mark Rappoport
Financial advisor at Principal Securities, Inc. · Brooklyn, NY
Last updated 2026-10-10
Claim your profileMark Rappoport is a financial advisor at Principal Securities, Inc. in Brooklyn, NY, CRD 3049622. Licenses and exams on the registration: Series 63. IAPD registration began 2021-06-30.
Registration
- CRD number
- 3049622
- Registration status
- Active
- IAPD registration
- 2021-06-30
- Industry Experience
- 5 years
- Work Experience
- 28 years
- States registered
- NY
Licenses and exams
- Series 63
Work history
- 1998-01 to Present · Principal Life Insurance Company · Brooklyn, NY
- 1998-04 to Present · Principal Securities Inc · Brooklyn, NY
- 2019-03 to 2020-01 · Nybc Direct · Brooklyn, NY
Current employment
- Principal Securities, Inc. · Des Moines, IA
Principal Securities, Inc.
- Regulatory AUM
- $17,024,265,096
- Registered advisors
- 1,463
- Offices
- 770
- Clients per advisor
- 35.5 (Low)
- Average AUM per client
- $327.8K (Low)
- High-net-worth client ratio
- 5.1% (Low)
Principal Securities, Inc.: advisors, services and reported ETF investments
About
Mark Rappoport is a financial advisor at Principal Securities, Inc. in Brooklyn, NY. Reported securities licenses include Series 63. The latest record indicates 5 years of industry experience and 28 years of reported work history. Reported roles include Principal Life Insurance Company, Nybc Direct.
SEC disclosures list additional business and community activities: Outside Insurance; Fixed Insurance; Investment Related; 2626 E 14th St.
Principal Securities, Inc.'s firm-level Form ADV reports 1,463 advisors across 770 offices; approximately 35.5 clients per advisor, average assets per client of $327,762, and regulatory AUM of $17B; client categories including Individuals (non-HNW), High net worth individuals, Pension and profit-sharing plans, Charitable organizations, Corporations or other businesses; services including Financial Planning Services, Portfolio Management: Individuals and Small Businesses, Portfolio Management: Businesses or Institutional Clients, Pension Consulting Services, Selection of Other Advisers.
PortfolioFuture's firm-level 13F analysis covers $4.8B across 680 reported ETF positions for the 2026-06-30 reporting period. These are firm-level disclosures, not investments attributed to Mark Rappoport personally.
Reported ETF positions
Principal Securities reports 680 ETF positions worth $4.8B on Form 13F; the largest are listed.
| Fund | Reported value |
|---|---|
| PIEQ — Principal International Equity ETF | $396.3M |
| IVV — iShares Core S&P 500 ETF | $278.5M |
| PSC — Principal U.S. Small-Cap ETF | $172.3M |
| BCHP — Principal Focused Blue Chip ETF | $154.1M |
| GSUS — Goldman Sachs MarketBeta U.S. Equity ETF | $124.7M |
Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
Noteworthy reported investments
Principal Securities's strongest reported position on each research ranking. Institution-level evidence, not this advisor's or any client's holding.
| Ranking | Fund | Reported value | Percentile | Key figures |
|---|---|---|---|---|
| Similar Fund Ranking | CGDV — Capital Group Dividend Value ETF | $18.7M | Top 99.9% | Peer conviction 86.4% · Active return +5.44% |
| Addressable Market | DYNF — iShares U.S. Equity Factor Rotation Active ETF | $32.8M | Top 99.9% | Addressable AUM $14.9T · Peer conviction 86.8% |
| Residual Alpha | VCRB — Vanguard Core Bond ETF | $11.4M | Top 99.9% | Residual alpha +0.66% · Residual Sharpe 0.14 |
| Diversification Benefits | IALT — iShares Systematic Alternatives Active ETF | $4.9M | Top 99.4% | Replicability (R²) 33.8% · Residual Sharpe 1.52 |
Historical comparisons from the published research release formed 2026-10-02; not forecasts or recommendations. Source: SEC Form 13F. These are institution-level reported positions; they do not establish that any individual advisor or their clients hold a fund.
What this firm offers
Filed by Principal Securities, Inc. on Form ADV.
Client services
- Financial Planning Services
- Individuals and Small Businesses
- Businesses or Institutional Clients
- Pension Consulting Services
- Selection of Other Advisers
- Educational Seminars or Workshops
Fee options
- Percentage of Assets Under Management
- Hourly Charges
- Fixed Fees (Other Than Subscription)
- Other
Business and affiliations
- Broker-Dealer (Registered or Unregistered)
- Sells Non-Advisory Products or Services
- Broker-Dealer or Municipal Securities Dea
- Other Investment Adviser (Incl. Financial
- Commodity Pool Operator or CTA
- Banking or Thrift Institution
- Trust Company
- Insurance Company or Agency
- Sponsor or Syndicator of Limited Partners
- Sponsor or GP of Pooled Investment Vehicl
Location
2735 E 13th St Ste 2, Brooklyn, NY 11235
2 advisors at this office.
Contact
The firm's filed contact details.
- Phone: 888-774-6267
- Website: principal.com
- Youtube
Official record
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