Han Chen

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
TX	RA	APPROVED_RES	2021-03-08
CA	RA	APPROVED	2008-10-28

TX RA
APPROVED_RES

Since 2021-03-08
CA RA
APPROVED

Since 2008-10-28

Branch Locations

1920 Main St Ste 700, Irvine, CA 92614 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Principal Life Insurance Co	Irvine	CA	10/2008	Present
Principal Securities Inc	Irvine	CA	10/2008	Present

10/2008 → Present

Principal Life Insurance Co

Irvine, CA
10/2008 → Present

Principal Securities Inc

Irvine, CA

Previous Registrations

2007-02-01 → 2008-10-08

Wells Fargo Clearing Services, Llc

Seal Beach, CA

Seal Beach, CA

Alhambra, CA

Los Angeles, CA

Other Businesses

***OUTSIDE INSURANCE, SELLING FIXED LIFE INSURANCE, FIXED ANNUITIES, LONG TERM CARE INSURANCE AND DISABILITY INSURANCE THROUGH VARIOUS CARRIERS, Health 11/019/14.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-12-09
S63	Uniform Securities Agent State Law Examination	1998-09-18

S65 Uniform Investment Adviser Law Examination

2006-12-09
S63 Uniform Securities Agent State Law Examination

1998-09-18

Designations

Chartered Financial Analyst

Other Names

Han Soedjatmiko
Han Soedjatmiko

View on SEC IAPD