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Lawrence Michael Dillon

Principal Securities, Inc.

Loudonville, NY

Latham, NY

CRD 3086067

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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
NY RA APPROVED 2021-09-01
  • NY RA
    APPROVED
    Since 2021-09-01

Branch Locations

Loudonville, NY • United States

637 New Loudon Rd Ste 1, Latham, NY 12110 • 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 Latham NY 04/2014 12/2016
Principal Securities Inc Loudonville NY 04/2014 Present
Principal Life Insurance Company Loudonville NY 06/2022 Present
  • 04/2014 → 12/2016
    Principal Life Insurance Company
    Latham, NY
  • 04/2014 → Present
    Principal Securities Inc
    Loudonville, NY
  • 06/2022 → Present
    Principal Life Insurance Company
    Loudonville, NY
Other Businesses

***OUTSIDE INSURANCE, LIFE, DI, LTC, FIXED ANNUITIES, 10/23/14.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1998-09-30
  • S66 Uniform Combined State Law Examination
    1998-09-30
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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