Best Investors Account Sign in

Kristin Moyer Andrews

Principal Securities, Inc.

Charlotte, NC

Mason City, IA

CRD 3050287

Claim This Profile
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 2021-06-16
IA RA APPROVED 2005-04-14
  • TX RA
    APPROVED_RES
    Since 2021-06-16
  • IA RA
    APPROVED
    Since 2005-04-14

Branch Locations

401 Mccullough Dr Ste 200, Charlotte, NC 28262 • United States

Mason City, IA • 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 Des Moines IA 10/1993 Present
Principal Securities Inc Des Moines IA 03/2016 Present
  • 10/1993 → Present
    Principal Life Insurance Company
    Des Moines, IA
  • 03/2016 → Present
    Des Moines, IA
Other Businesses

PRINCIPAL BANK/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: 711 High Street, Des Moines IA 50392, United States DESCRIPTION: Formally designated a bank officer in order to access information and adequately support/manage Principal Retirement account relationships across both the insurance/broker-dealer and nd bank/trust offerings of the Principal.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-07
  • S66 Uniform Combined State Law Examination
    2005-04-07

View on SEC IAPD

Nearby Firms

Nearby Investors

Nearby Offices

More in Charlotte, NC

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor