Susan Jane Bentley

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-06-16
CA	RA	APPROVED	2004-10-27

TX RA
APPROVED_RES

Since 2021-06-16
CA RA
APPROVED

Since 2004-10-27

Branch Locations

222 S 9Th St Ste 1400, Minneapolis, MN 55402 • United States

Paso Robles, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
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 Insurnace Co	Costa Mesa	CA	10/1984	Present
Principal Securities Inc	Costa Mesa	CA	01/1989	Present

10/1984 → Present

Principal Life Insurnace Co

Costa Mesa, CA
01/1989 → Present

Principal Securities Inc

Costa Mesa, CA

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: 11/07/2022 ADDRESS: 575 Anton, COSTA MESA CA 92626, United States DESCRIPTION: Provide Bank Officer services

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-04-29
S63	Uniform Securities Agent State Law Examination	1989-02-08

S65 Uniform Investment Adviser Law Examination

1997-04-29
S63 Uniform Securities Agent State Law Examination

1989-02-08

Other Names

Susan Jane Harada
Susie Harada

View on SEC IAPD