Michael C Palczuk

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
NC	RA	APPROVED	2014-06-23

NC RA
APPROVED

Since 2014-06-23

Branch Locations

Raleigh, NC • 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 Company	Raleigh	NC	06/2014	Present
Principal Securities Inc	Raleigh	NC	03/2016	Present

06/2014 → Present

Principal Life Insurance Company

Raleigh, NC
03/2016 → Present

Principal Securities Inc

Raleigh, NC

Previous Registrations

2009-05-20 → 2014-06-18

New England Securities

Raleigh, NC
2001-12-17 → 2009-05-18

Equitable Advisors, Llc

Raleigh, NC

Raleigh, NC

Chapel Hill, NC

Raleigh, NC

Other Businesses

*Fixed Insurance, Life, DI, LTC, Annuities, Group Health,6/17/16. *St. Catherine of Siena Church, Finance committee member, fundraising committee member, 05/12/16. ***MakeReady Firearms Training Academy; Not Investment Related; Raleigh, NC; ; provide firearms training to customers; Start Date: 06/01/2021; 4 hrs per month; 0 during trading hours.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-11-20

S66 Uniform Combined State Law Examination

2001-11-20

View on SEC IAPD