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711 High Street, Des Moines, IA 50392 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Principal Life Insurance | Holmdel | NJ | 06/2001 | Present |
| Principal Securities Inc | Holmdel | NJ | 10/2002 | Present |
***Auto Solutions Inc, President, responsible for staffing and payroll, 09/21/17. PRINCIPAL BANK AND 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: 07/28/2022 ADDRESS: 1155 Avenue of the Americas, New York NY 10019, 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
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-02-24 |
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