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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2005-10-17 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
Orange, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Financial Group | Costa Mesa | CA | 07/1998 | Present |
| Principal Securities Inc | Costa Mesa | CA | 03/2016 | Present |
PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 575 Anton Blvd., Suite 910, Costa Mesa CA 92626, United States DESCRIPTION: Formerly designated a bank officer in order to access information and adequately support/manage Principal retirement plan account relationships across both the insurance/broker-dealer and bank/trust offerings of Principal.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-10-13 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-07 |
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