Chad D Smith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/1999 → Present
  Principal Life Ins Co
  Des Moines, IA
• 11/2000 → Present
  Principal Securities Inc
  Des Moines, IA

Previous Registrations

• 2005-05-24 → 2008-12-31
  Principal Securities, Inc.
  Des Monies, IA
  Des Moines, IA

Other Businesses

*JORDAN CREEK TOWN CENTER. 10/31/2007. WEST DES MOINES, IA. CUSTOMER SERVICE REP FOR MALL. DUTIES = SELLING GIFT CARDS, ANSWERING CUSTOMER QUESTIONS.***YMCA OF CENTRAL IOWA,WORKING PART TIME AT THE FRONT DESK AT THE WAUKEE, IA YMCA, 2/9/15.

Exams

• S65 Uniform Investment Adviser Law Examination
  2005-05-23