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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2005-11-07
  • TX RA
    APPROVED
    Since 2005-11-07

Branch Locations

5080 Spectrum Dr Ste 1200E, Addison, TX 75001 • United States

6500 West Fwy Ste 555, Fort Worth, TX 76116 • 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
Principal Life Insurance Company Addison TX 10/1999 Present
Principal Securities Inc Addison TX 03/2016 Present
  • 10/1999 → Present
    Principal Life Insurance Company
    Addison, TX
  • 03/2016 → Present
    Addison, TX
Other Businesses

***Fixed Insurance; Investment Related; Addison, TX; Agent; Life, Annuities, DI, LTC, Group; Start Date: 12/26/2019; 1 hrs per month; 1 during trading hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-02-06
S63 Uniform Securities Agent State Law Examination 2000-12-01
  • S65 Uniform Investment Adviser Law Examination
    2001-02-06
  • S63 Uniform Securities Agent State Law Examination
    2000-12-01

View on SEC IAPD

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