Phillip J Barbaria

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
UT	RA	APPROVED	2023-08-17

UT RA
APPROVED

Since 2023-08-17

Branch Locations

Saratoga Springs, UT • United States

711 High St, Des Moines, IA 50392 • 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 Funds Distributor	El Dorado Hills	CA	06/2007	12/2017
Principal Securities, Inc.	Saratoga Springs	UT	03/2016	Present
Principal Life Insurance Company	Saratoga Springs	UT	06/2007	Present

06/2007 → 12/2017

Principal Funds Distributor

El Dorado Hills, CA
03/2016 → Present

Principal Securities, Inc.

Saratoga Springs, UT
06/2007 → Present

Principal Life Insurance Company

Saratoga Springs, UT

Other Businesses

RENTAL PROPERTY POSITION: Owner NATURE: Real Estate Rental Income INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2017 ADDRESS: 989 West Coral Charm Way, Saratoga Springs UT 84043, United States DESCRIPTION: Receives rental income, managed by a property manager.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2022-06-02
S63	Uniform Securities Agent State Law Examination	1997-09-03

S66 Uniform Combined State Law Examination

2022-06-02
S63 Uniform Securities Agent State Law Examination

1997-09-03

Other Names

Phillip J Barbaria
Philip J Barbaria

View on SEC IAPD