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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2025-09-02
OH RA APPROVED 2019-03-28
  • TX RA
    APPROVED_RES
    Since 2025-09-02
  • OH RA
    APPROVED
    Since 2019-03-28

Branch Locations

7625 Paragon Rd Ste B, Centerville, OH 45459 • 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
OrganizationCityStateFromTo
World Financial Group Dayton OH 06/2001 03/2019
Foresight Financial Dayton OH 06/2005 03/2019
Transamerica Financial Advisors, Inc. Dayton OH 01/2012 03/2019
Aflac, Ins Dayton OH 04/2015 09/2016
Principal Life Insurance Company Centerville OH 03/2019 Present
Principal Securities, Inc. Centerville OH 03/2019 Present
Lake Forest Financial Advisors Centerville OH 06/2022 Present
  • 06/2001 → 03/2019
    World Financial Group
    Dayton, OH
  • 06/2005 → 03/2019
    Foresight Financial
    Dayton, OH
  • 01/2012 → 03/2019
    Transamerica Financial Advisors, Inc.
    Dayton, OH
  • 04/2015 → 09/2016
    Aflac, Ins
    Dayton, OH
  • 03/2019 → Present
    Principal Life Insurance Company
    Centerville, OH
  • 03/2019 → Present
    Centerville, OH
  • 06/2022 → Present
    Lake Forest Financial Advisors
    Centerville, OH
Previous Registrations
Other Businesses

**Fixed Insurance; Investment Related; Centerville, OH; Agent; Life, Annuities, DI, Health, Medicare Supplemental; Start Date: 04/04/2019; 15 hrs per month; 8 during trading hours. **DAYTON CHILDREN'S HOSPITAL FOUNDATION POSITION: Board Member NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 11/01/2022 ADDRESS: One Children's Plaza, Dayton OH 45404, United States DESCRIPTION: I will serve on the Foundation board for a three year-term; will also serve on the Planned Giving Advisory Committee. Dayton Children's Foundation is dedicated to raising and stewarding donor funds in support of the mission of Dayton Children's Hospital. **LAKE FOREST FINANCIAL ADVISORS (DBA) POSITION: Partner NATURE: fee-based financial planning, financial strategies, life & disability insurance, annuities, mutual funds, annuities, long-term care insurance INVESTMENT RELATED: Yes NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 150 START DATE: 02/02/2026 ADDRESS: 7625 Paragon Rd, Suite B, Centerville OH 45459, United States DESCRIPTION: I'm a partner in a multi-advisor team organized as Lake Forest Financial Advisors. This is for OBA/DBA purposes. All compensation flows through PSI/Principal.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-07-15
S63 Uniform Securities Agent State Law Examination 2003-02-28
  • S65 Uniform Investment Adviser Law Examination
    2009-07-15
  • S63 Uniform Securities Agent State Law Examination
    2003-02-28
Other Names
  • Art Hung
  • Arthur Chen Hung
  • Arthur Hung

View on SEC IAPD

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