Marion Ronald Johnson

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:

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
KS	RA	APPROVED	2007-08-06

KS RA
APPROVED

Since 2007-08-06

Branch Locations

Olathe, KS • United States

711 High St, Des Moines, IA 50392 • 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 Insurance Company	Olathe	KS	06/2000	Present
Principal Securities Inc	Olathe	KS	03/2016	Present

06/2000 → Present

Principal Life Insurance Company

Olathe, KS
03/2016 → Present

Principal Securities Inc

Olathe, KS

Other Businesses

PRINCIPAL BANK & 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: 07/28/2022 ADDRESS: 222 S. 9th Street, Suite 1300, Minneapolis MN 55402, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-10-05

S66 Uniform Combined State Law Examination

2004-10-05

View on SEC IAPD