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David Eugene Traut

Principal Securities, Inc.

Cedar Rapids, IA

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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-18
IA RA APPROVED 2005-05-10
  • TX RA
    APPROVED_RES
    Since 2021-06-18
  • IA RA
    APPROVED
    Since 2005-05-10

Branch Locations

Cedar Rapids, IA • 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 Life Insurance Company Cedar Rapids IA 10/2001 Present
Principal Securities Inc Cedar Rapids IA 03/2016 Present
Legacy Wealth Management Hiawatha IA 05/2024 Present
  • 10/2001 → Present
    Principal Life Insurance Company
    Cedar Rapids, IA
  • 03/2016 → Present
    Principal Securities Inc
    Cedar Rapids, IA
  • 05/2024 → Present
    Legacy Wealth Management
    Hiawatha, IA
Other Businesses

*OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, DISABILITY, LONG TERM CARE INSURANCE AND FIXED ANNUITIES THROUGH VARIOUS CARRIERS, 10/24/14.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-05
S63 Uniform Securities Agent State Law Examination 2002-01-02
  • S65 Uniform Investment Adviser Law Examination
    2005-05-05
  • S63 Uniform Securities Agent State Law Examination
    2002-01-02

View on SEC IAPD

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