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Current Employers
Principal Securities, Inc.

711 High Street, Des Moines, IA 50392 • United States

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 2004-01-06
  • IA RA
    APPROVED
    Since 2004-01-06

Branch Locations

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
OrganizationCityStateFromTo
Principal Securities Inc Des Moines IA 03/2016 Present
Principal Life Insurance Company Des Moines IA 10/2001 Present
  • 03/2016 → Present
    Des Moines, IA
  • 10/2001 → Present
    Principal Life Insurance Company
    Des Moines, IA
Other Businesses

**Coalition for Equity in Wholesaling; Not Investment Related; Clive, IA 50325; Board Member; This is a volunteer role on a board to help drive industry diversity in wholesaling.; Start Date: 10/14/2022; 2 hrs per month; 2 during trading hours. **CHILDRENS CANCER CONNECTION POSITION: Board of Director NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2023 ADDRESS: 5701 Greendale Rd., Johnston IA 50131, United States DESCRIPTION: Children's Cancer Connection's mission is to connect Iowa families affected by childhood cancer by providing opportunities that encourage relationships and strengthen community. Through generous fundraising and donor efforts, CCC provides educational resources, support outings, camp programs, events and other outreach to more than 800 Iowa families at no cost to them. As a father of a child that went through childhood cancer, I have experience using the services of this organization and have been asked to be a part of their board of directors.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-01-30
  • S66 Uniform Combined State Law Examination
    2002-01-30

View on SEC IAPD

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