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David Russell Sandstead

Principal Securities, Inc.

Wayne, PA

Des Moines, IA

CRD 2999691

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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

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-11-17
PA RA APPROVED 2008-12-22
  • TX RA
    APPROVED_RES
    Since 2022-11-17
  • PA RA
    APPROVED
    Since 2008-12-22

Branch Locations

Wayne, PA • 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
OrganizationCityStateFromTo
Principal Life Insurance Company Devon PA 10/1997 Present
Principal Securities Inc Devon PA 03/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-03-01
S63 Uniform Securities Agent State Law Examination 1998-04-02
  • S65 Uniform Investment Adviser Law Examination
    2007-03-01
  • S63 Uniform Securities Agent State Law Examination
    1998-04-02

View on SEC IAPD

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