Christian David Serock

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2005-02-23

NC RA
APPROVED

Since 2005-02-23

Branch Locations

Charlotte, NC • 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 Life Insurance Company	Charlotte	NC	07/2001	Present
Principal Securities, Inc.	Charlotte	NC	03/2016	Present

07/2001 → Present

Principal Life Insurance Company

Charlotte, NC
03/2016 → Present

Principal Securities, Inc.

Charlotte, NC

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: 20 SECURITIES TRADING HOURS: 20 START DATE: 02/22/2022 ADDRESS: 11215 N Community House Road, Ste 725, Charlotte NC 28277, 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

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-02-22
S63	Uniform Securities Agent State Law Examination	1998-05-11

S66 Uniform Combined State Law Examination

2005-02-22
S63 Uniform Securities Agent State Law Examination

1998-05-11

Other Names

Chris Serock

View on SEC IAPD