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Brooks Christian Lau

Principal Securities, Inc.

Des Moines, IA

Phoenix, AZ

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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 2023-08-21
AZ RA APPROVED 2009-06-22
  • TX RA
    APPROVED_RES
    Since 2023-08-21
  • AZ RA
    APPROVED
    Since 2009-06-22

Branch Locations

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

Phoenix, AZ • 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 Co Lombard IL 01/2004 Present
Principal Securities Inc Lombard IL 04/2004 Present
Other Businesses

***H.P. LAU COMPANY, DIRECTOR OF FAMILY PERSONAL HOLDING COMPANY, 7/8/15.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-02
S63 Uniform Securities Agent State Law Examination 1997-06-20
  • S65 Uniform Investment Adviser Law Examination
    2007-03-02
  • S63 Uniform Securities Agent State Law Examination
    1997-06-20
Other Names
  • Brooks C Lau

View on SEC IAPD

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Other Offices

OSAIC INSTITUTIONS, INC. · Des Moines, IA
EQUITABLE ADVISORS, LLC · DES MOINES, IA
LPL FINANCIAL LLC · DES MOINES, IA
OSAIC WEALTH, INC. · DES MOINES, IA
EDWARD JONES · DES MOINES, IA
WEST FINANCIAL ADVISORS, L.L.C. · DES MOINES, IA
AVANTAX PLANNING PARTNERS, INC. · Des Moines, IA
PROSPECTIVE VALUE PARTNERS LLC · DES MOINES, IA

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