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801 Grand Ave, Des Moines, IA 50392-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2022-02-02 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance | Des Moines | IA | 06/1999 | 06/2024 |
| Princor Financial Services Corporation | Des Moines | IA | 07/1999 | 12/2018 |
| Principal Funds Distributor | Chicago | IL | 06/2014 | Present |
| Principal Asset Management | Chicago | IL | 02/2022 | Present |
| Principal Securities, Inc. | Des Moines | IA | 10/2025 | Present |
| Principal Life Insurance Company | Des Moines | IA | 10/2025 | Present |
1) Access/supervised person of Principal Global Investors, LLC, and will perform certain functions for Principal Global Investors and its affiliates. 2) WARTBURG COLLEGE. 100 WARTBURG BLVD, WAVERLY, IA 50677. BOARD MEMBER, 05/2014-PRESENT. ADVISORY BOARD FOR BUSINESS COLLEGE REGARDING CURRICULUM AND MAJOR. NOT INVESTMENT RELATED. 12-16 HOURS ANNUALLY, 0 DURING TRADING HOURS. 3) ANKENY JUNIOR FOOTBALL, PLAYER SAFTEY COORDINATOR. BOARD MEMBER FOR JUNIOR FOOTBALL ORGANIZATION. NOT INVESTMENT RELATED. 10 HOURS/MONTH, NONE DURING SECURITIES TRADING HOURS. EFF 6/2015. 4) Ankeny Centennial High School - Assistant Varsity Football Coach (Volunteer), 2220 NW State St, Ankeny, IA 50023. Not Investment Related. 5-6 hrs per week, 0 hrs during trading.. Effective 06/01/2021.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-01-26 |
| S63 | Uniform Securities Agent State Law Examination | 2014-08-25 |
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