Paul Francis Clarke

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2013 → 11/2018
  Transamerica Retirement Solutions
  Harrison, NY
• 12/2013 → 11/2018
  Transamerica Investors Securities Corporation
  Harrison, NY
• 11/2018 → Present
  Principal Life Insurance
  Ossining, NY
• 12/2018 → Present
  Principal Securities
  Ossining, NY

Other Businesses

PRINCIPAL BANK/PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/25/2022 ADDRESS: 1155 Avenue of the Americas, Suite 1120, New York NY 10036, 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

• S63 Uniform Securities Agent State Law Examination
  2000-11-25