Donald Steven Brovick

Current Employers

Principal Securities, Inc.

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-06-16
WI	RA	APPROVED	2016-04-12

TX RA
APPROVED_RES

Since 2021-06-16
WI RA
APPROVED

Since 2016-04-12

Branch Locations

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

Cazenovia, WI • 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	Cazenovia	WI	01/2016	Present
Principal Securities, Inc.	Cazenovia	WI	03/2016	Present

01/2016 → Present

Principal Life Insurance Company

Cazenovia, WI
03/2016 → Present

Principal Securities, Inc.

Cazenovia, WI

Previous Registrations

2003-09-08 → 2005-01-20

J.P. Morgan Asset Management

Rockford, IL

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: 07/28/2022 ADDRESS: 10361 Innovation Dr., Suite 325, Wauwatosa WI 53226, 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
S65	Uniform Investment Adviser Law Examination	2016-04-12
S63	Uniform Securities Agent State Law Examination	2005-01-31

S65 Uniform Investment Adviser Law Examination

2016-04-12
S63 Uniform Securities Agent State Law Examination

2005-01-31

Other Names

Don Brovick

View on SEC IAPD