Joshua James Herbst

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

• 07/2001 → 08/2017
  Metropolitan Life Ins Co
  Hiawatha, IA
• 07/2001 → 08/2017
  Metlife Securities, Inc.
  Hiawatha, IA
• 07/2016 → 08/2017
  Massachusetts Mutual Life Insurance Company
  Springfield, MA
• 03/2017 → 08/2017
  Mml Investors Services, Llc
  Bettendorf, IA
• 08/2017 → Present
  Principal Life Insurance Company
  Dubuque, IA
• 08/2017 → Present
  Principal Securities Inc
  Dubuque, IA
• 04/2021 → 09/2022
  Union Financial, Inc.
  Dubuque, IA

Previous Registrations

• 2017-03-25 → 2017-08-18
  Mml Investors Services, Llc
  Bettendorf, IA
  Dubuque, IA
• 2012-03-15 → 2017-03-25
  Msi Financial Services, Inc.
  Dubuque, IA
  West Des Moines, IA
  Cedar Rapids, IA
  Dubuque, IA
  Dubuque, IA
  Bettendorf, IA
  West Des Moines, IA
  Dubuque, IA
  Dubuque, IA
  Bettendorf, IA
  Minnetonka, MN
  West Des Moines, IA
  Bettendorf, IA
  La Crosse, WI

Other Businesses

NAIFA Dubuque, President-Elect, 8/28/17. *Fixed Insurance,200 2ND AVE SE, CEDAR RAPIDS, IA 52401,Life, DI, Annuities, LTC, 10/20/17,Investment Related (Y/N): Y,% Income: 1.

Exams

• S65 Uniform Investment Adviser Law Examination
  2012-03-05
• S63 Uniform Securities Agent State Law Examination
  2002-01-14