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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2023-07-17
  • CA RA
    APPROVED
    Since 2023-07-17

Branch Locations

Richmond, CA • United States

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

500 Ygnacio Valley Rd Ste 270B, Walnut Creek, CA 94596 • 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 Mutual Life Insurance Co. Des Moines IA 05/1996 08/2019
Principal Securites Inc Richmond CA 03/2016 Present
Principal Life Insurance Co Richmond CA 08/2019 Present
  • 05/1996 → 08/2019
    Principal Mutual Life Insurance Co.
    Des Moines, IA
  • 03/2016 → Present
    Principal Securites Inc
    Richmond, CA
  • 08/2019 → Present
    Principal Life Insurance Co
    Richmond, CA
Other Businesses

PRINCIPAL BANK AND PRINCIPAL TRUST COMPANY POSITION: Bank/Trust Officer NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 10 START DATE: 07/25/2022 ADDRESS: 333 Finley Road, Suite 550, Downers Grove IL 60515, United States DESCRIPTION: Formally 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-08-30
S63 Uniform Securities Agent State Law Examination 1997-04-25
  • S66 Uniform Combined State Law Examination
    2005-08-30
  • S63 Uniform Securities Agent State Law Examination
    1997-04-25
Other Names
  • Aimee Lynne Jones

View on SEC IAPD

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