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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-07-15 |
Branch Locations
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance Company | Latham | NY | 04/2014 | Present |
| Principal Securities Inc | Latham | NY | 03/2016 | Present |
***OUTSIDE INSURANCE, LIFE, DI, FIXED ANNUITIES, 01/21/15. ***Privacy Tab LLC; Not Investment Related; Niskayuna, NY; Co-Owner; LLC opened to help move a product through the patent process.; Start Date: 05/01/2021; 5 hrs per month; 0 during trading hours.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-04-04 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-25 |
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