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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2023-07-17 |
Branch Locations
711 High St, Des Moines, IA 50392 • United States
500 Ygnacio Valley Rd Ste 270B, Walnut Creek, CA 94596 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2005-08-30 |
| S63 | Uniform Securities Agent State Law Examination | 1997-04-25 |
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