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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 2021-06-16
IA RA APPROVED 2005-08-05
  • TX RA
    APPROVED_RES
    Since 2021-06-16
  • IA RA
    APPROVED
    Since 2005-08-05

Branch Locations

4201 Westown Pkwy Ste 350, West Des Moines, IA 50266 • 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 West Des Moines IA 01/2002 Present
Principal Securities Inc West Des Moines IA 03/2016 Present
  • 01/2002 → Present
    Principal Life Insurance Company
    West Des Moines, IA
  • 03/2016 → Present
    West Des Moines, IA
Other Businesses

**OUTSIDE INSURANCE, BROKER, LIFE, FIXED ANNUITIES, LTC, DI, 12/12/13. **FLEETLINE LLC POSITION: Partner NATURE: Owner/Partner/of LLC/S-Corp/REIT INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 10/25/2021 ADDRESS: 750 W. Walsh, Mon MO 63361, United States DESCRIPTION: LLC created for joint ownership of antique tractors. Other members include, father and two brothers. No sales or other business activities from this LLC. No customer base. Purely for joint ownership of tractors. **GOLDEN OAKS HOME OWNERS ASSOCIATION POSITION: Vice President NATURE: Board Member/Officer/Director of an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 05/23/2026 ADDRESS: 31358 Golden Wood, Gravois Mills MO 65037, United States DESCRIPTION: Small Home owners association located at Lake of the Ozarks, MO. My title is Vice President. There is 1 annual meeting and I have no ongoing responsibilities, unless the president is unable to attend the annual meeting, then I would conduct the meeting. I do not have access to any funds or bank accounts. The HOA does not have any investment accounts.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-04
S63 Uniform Securities Agent State Law Examination 2002-02-15
  • S66 Uniform Combined State Law Examination
    2005-08-04
  • S63 Uniform Securities Agent State Law Examination
    2002-02-15

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