Tod David Ross

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

• 11/2000 → 11/2019
  Primerica Financial Services
  Phoenix, AZ
• 01/2006 → 11/2019
  Pfs Investments Inc
  Phoenix, AZ
• 11/2019 → 01/2022
  Allstate Insurance Company
  Glendale, AZ
• 01/2022 → 03/2023
  Equitable Advisors
  New York, NY
• 11/2019 → 01/2022
  Allstate Financial Advisors, Llc
  Glendale, AZ
• 11/2019 → 01/2022
  Allstate Financial Services, Llc
  Peoria, AZ
• 03/2023 → Present
  Principal Life Insurance Company
  Phoenix, AZ
• 03/2023 → Present
  Principal Securities Inc
  Phoenix, AZ

Previous Registrations

• 2022-02-02 → 2023-03-24
  Equitable Advisors, Llc
  Scottsdale, AZ
• 2019-11-26 → 2022-02-03
  Allstate Financial Advisors, Llc
  Glendale, AZ
• 2011-07-19 → 2019-11-12
  Pfs Investments Inc.
  Phoenix, AZ
  Phoenix, AZ
  Phoenix, AZ

Other Businesses

**INSURANCE POSITION: Registered Representative NATURE: null INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 1 START DATE: 03/16/2023 ADDRESS: 2355 E. Camelback Rd, Ste 501, Phoenix AZ 86016, United States DESCRIPTION: Fixed Insurance: Life, Disability, Annuities, Long Term Care, Health, Medicare Supplements & Group Benefits. **UNICITY POSITION: Ambassador NATURE: Nutraceutical INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/09/2026 ADDRESS: 21001 N Tatum Blvd, 1630-915, Phoenix AZ 85050, United States DESCRIPTION: Title: Ambassador for Unicity. Unicity offers nutraceutical, NOT pharmaceutical, products that can be found in the Physicians Desk Reference (PDR) (pdr.net and then type Unicity in the search bar). Unicity's primary products are Unimate and Balance. I have personally used the products as a consumer since 2/12/2026 and have lost 12lbs. The primary purpose of being an Ambassador is that I would receive a lower price for the products that my family and I will be consuming personally. I also want to be able to share my personal experience of a healthy lifestyle, if asked, while always telling people that before doing any type of health related program they need to consult with their personal physician. I could then direct anyone who wanted to learn more about the products to the company established website.

Exams

• S65 Uniform Investment Adviser Law Examination
  2011-03-28
• S63 Uniform Securities Agent State Law Examination
  2002-03-29