Mindy Ann Mondaro

Employer firm

Principal Securities, Inc. CRD 1137

$17.0B regulatory AUM 1,717 advisory clients

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

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

Current Employers

Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

Authority	Category	Status	Date
NJ	RA	APPROVED	2006-09-11

NJ RA
APPROVED

Since 2006-09-11

Branch Locations

Whippany, NJ • United States

711 High St, Des Moines, IA 50392 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Co	Whippany	NJ	04/2005	Present
Principal Securities Inc	Whippany	NJ	09/2005	Present

04/2005 → Present

Principal Life Insurance Co

Whippany, NJ
09/2005 → Present

Principal Securities Inc

Whippany, NJ

Other Businesses

PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 18 Cove Lane Rd, Whippany NJ 07981, United States DESCRIPTION: Formally designated as a bank officer in order to access information adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank trust offerings of Principal.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2006-09-08

S66 Uniform Combined State Law Examination

2006-09-08

Other Names

Mindy Ann Habercorn
Mindy Ann Habercorn

View on SEC IAPD