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Current Employers
Principal Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-16
ND RA APPROVED 2015-11-16
  • TX RA
    APPROVED_RES
    Since 2021-06-16
  • ND RA
    APPROVED
    Since 2015-11-16

Branch Locations

4334 18Th Ave S Ste 103, Fargo, ND 58103 • 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 Fargo ND 10/2015 Present
Principal Securities Inc Fargo SD 03/2016 Present
Previous Registrations
  • 2013-01-23 → 2015-10-22
    Palm Beach Gardens, FL
    Palm Beach Gardens, FL
    West Fargo, ND
    Alexandria, MN
    Fergus Falls, MN
    Moorhead, MN
    Moorhead, MN
    Fargo, ND
    Fargo, ND
    Fargo, ND
    Fargo, ND
    Jamestown, ND
    Wahpeton, ND
    Fargo, ND
  • 2012-06-11 → 2012-12-21
    Moorhead, MN
    Moorhead, MN
    Sioux Falls, SD
    Fargo, ND
Other Businesses

***Fixed Insurance, Life, DI, LTC, Health, Annuities, 12/01/15. ***EBI, Inc., Benefits Enrollment, 09/30/16. TRI-J PARTNERS, LLC POSITION: Partner NATURE: Investor (LLC, LP, REIT) INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2021 ADDRESS: 5622 43rd St S, Fargo ND 58104, United States DESCRIPTION: Entity set up to manage shared leased office space and expenses associated with it. No income derived by business, pass through for rent and other expenses

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-05-29
S63 Uniform Securities Agent State Law Examination 2010-08-12
  • S65 Uniform Investment Adviser Law Examination
    2012-05-29
  • S63 Uniform Securities Agent State Law Examination
    2010-08-12

View on SEC IAPD

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