Paula Kay Smith

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/1995 → Present
  Principal Life Insurance Company
  New Ulm, TX
• 04/2003 → Present
  Principal Securities Inc
  New Ulm, TX

Other Businesses

FARM, KELLY LANE NEW ULM, TX, Owner,husband handles all farming/operations, 9/21/17, no investment related, no hours during trading. 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: 02/22/2022 ADDRESS: 1900 West Loop S, Ste 400A, Houston TX 77027, 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

• S65 Uniform Investment Adviser Law Examination
  2005-09-27
• S63 Uniform Securities Agent State Law Examination
  2003-10-27

Other Names

• Paula Kay Grantz
• Paula Kay Williams