Walter George Nissen

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	2021-06-15
IA	RA	APPROVED	1999-10-19

TX RA
APPROVED

Since 2021-06-15
IA RA
APPROVED

Since 1999-10-19

Branch Locations

Davenport, IA • 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

Organization	City	State	From	To
Principal Securities Inc	Des Moines	IA	10/1996	Present

10/1996 → Present

Principal Securities Inc

Des Moines, IA

Other Businesses

****KARL J & WALTER NISSEN, 1975,JOINT OWNER WITH MY BROTHER OF A COMMERICIAL BUILDING RENTAL,NOT INVESTMENT RELATED,6/10/2010. ***HEALTH INSURANCE, BROKER VARIOUS COMPANIES, 8/10-PRESENT, IA, NOT INVESTMENT RELATED. ***OUTSIDE INSURANCE. FIXED LIFE INSURANCE, FIXED ANNUITIES, LONG-TERM CARE INSURANCE. BROKER. EFFECTIVE DATE - 8/9/13.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2001-05-26
S63	Uniform Securities Agent State Law Examination	1996-11-13

S65 Uniform Investment Adviser Law Examination

2001-05-26
S63 Uniform Securities Agent State Law Examination

1996-11-13

Designations

Chartered Financial Consultant

Other Names

Wally Nissen

View on SEC IAPD