Matthew Wade Moffitt

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
IA	RA	APPROVED	2004-09-08

IA RA
APPROVED

Since 2004-09-08

Branch Locations

Madrid, IA • 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 Securities Inc	Madrid	IA	04/2001	Present
Principal Life Insurance Co	Madrid	IA	10/2000	Present

04/2001 → Present

Principal Securities Inc

Madrid, IA
10/2000 → Present

Principal Life Insurance Co

Madrid, IA

Other Businesses

MATT MOFFITT POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 518 E 6th St, Madrid IA 50156, United States DESCRIPTION: Rental Property

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-06-05

S66 Uniform Combined State Law Examination

2004-06-05

View on SEC IAPD