Mark Jeffrey Ellis

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	2006-02-03

IA RA
APPROVED

Since 2006-02-03

Branch Locations

Nora Springs, 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 Life Insurance Co	Des Moines	IA	10/2001	Present
Principal Securities Inc	Des Moines	IA	03/2016	Present

10/2001 → Present

Principal Life Insurance Co

Des Moines, IA
03/2016 → Present

Principal Securities Inc

Des Moines, IA

Other Businesses

PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/19/2022 ADDRESS: 417 5th st ne, nora springs IA 50458, 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	2006-01-24

S66 Uniform Combined State Law Examination

2006-01-24

Other Names

Mark J Ellis

View on SEC IAPD